CCPS RBPS Overview Training

Audit Protocol - Example

Item / Question Findings Possible Evidence Scoring Recommendations

Safety Management Systems Audit Findings

PS Culture

- Organization chart
Is there a clear Organization Chart indicating Personnel, Roles and
- Job Descriptions of different
Responsibilities?
roles

Does organization encourages 2 way communication between

Managers/Workforce/Other Stakeholders?

Does Company encourages sharing information that will reduce the safety risks
without fear of punishment? Are employees empowered to suggest or initiate
improvements?

Are HSE/PSM policies programs written down and communicated to - SHE policy photos
Workforce? Training? - SHEQ policy training record

- Daily meetings MoM

Does the company board of directors and Middle Man't monitor the status and
samples.
progress of the company’s PSM program?
- Monthly progress slides

- Plant Daily Inspection report

Are plant HSE/PSM policies, practices, and procedures. Are they followed (PDI)
consistently? - Deep audit report (for each
area)

Compliance With Standards/Legislation

List of applicable standards that plant is complying to
List of relevant legislation that plant shall comply (e.g. lift, boiler, Fire, Electrical
Safety, any emission targets to air/landfill, drains, noise levels inside/outside Local Law and Regs Summary
plant, etc.)

TÜV Rheinland – PSM Audit Template

CCPS RBPS Overview Training
Audit Protocol - Example

Item / Question Findings Possible Evidence Scoring Recommendations

Risk assessment (PHA e.g. HAZID/HAZOP) performed against relevant

Standards/legislation?

Operators (including Contractors) familiar with Codes/relevant Legislation?

Government body inspection reports. Any correspondence with Regulatory

agency? Resolution?

- Calibration certificates
- Emergency equipment
Review state of certification of all safety related equipment (e.g. lift, boiler, checklist records
Fire extinguishers, F&G detection, electrical safety, etc. - Harness inspection records
- Fire fighting inspection
records

Process Safety Competency

- Job description for each role is

Provide competency requirements for each Job Description (Staff & available, however, the PSM/HSE
Contractors), e.g. degree, education, past experience, etc. requirements either not mentioned
or very generic.

Who is responsible for preparing and updating competency requirements - interview with SHE manager

- Training records.
Is initial and refresher job-related training provided for each
- Training plan.
Personnel/Contractors
- certificates
Review sample of training material. Is training material reviewed regularly for
Training material
adequacy and updated when required?
Workforce Involvement
Are personnel involved in the Process Hazard Analysis? Are personnel aware of
the PHA?

TÜV Rheinland – PSM Audit Template

CCPS RBPS Overview Training
Audit Protocol - Example

Item / Question Findings Possible Evidence Scoring Recommendations

Do personnel/Contractors have access to PHA and other PSM information?

Has the Company established system and protocols to be used to respond to

employee suggestions, concerns and complaints?
Stakeholder Outreach
Is there a need/legislative requirement to communicate information to nearby
public on plant hazards, emergency plans, etc.?
Is there a mean for public to raise concerns related to the facility. What actions
will be taken by Facility?
How public complaints are addressed
Process Knowledge Management, Hazard Identification & Risk Analysis
- Updated layout, PFDs, PFD,
Is there a Plot Plan, Process Flow Diagram, Process Description (Updated?)
SOP
Is there a list of relevant Design Codes and Standards
Is there an detailed inventory for all process equipment containing location,
age, construction, volume, content, etc.?
Is there a document listing out: hazards, toxicity levels/permissible exposure
limits (to enzymes, etc.), physical data, etc.?
Has an initial PHA been performed and being updated over the years as
systems change/upgraded?
What methodology is used for PHA (e.g. HAZOP, What if, FMEA, etc.)?
Does the PHA addresses/includes extend of hazard, hazardous inventory, effect
of hazard to personnel, nearby public and environment, risk ranking, number of
personnel/public that can be affected by the hazards, age of facility, operating
history?

Does the PHA addresses fire/explosion issues, facility siting issues, human
factor/ergonomics, site personnel and surrounding public

Is the current PHA appropriate up to date and fully address process/site/etc.

hazards? Are the safeguards in the PHA still applicable? Are the safeguards fully
functional?
Are all PHA recommendations been implemented?
Has PHA clearly communicated to all relevant parties (including personnel,
Contractors, public (if affected), etc.?)

TÜV Rheinland – PSM Audit Template

CCPS RBPS Overview Training
Audit Protocol - Example

Item / Question Findings Possible Evidence Scoring Recommendations

Following the PHA all the Safety Critical Systems (SCS) should have been - Normally, SCEs are identified based on HAZID/Bowtie studies to
identified (e.g. relief valves, fire extinguishers, interlocks, F&G detection, etc.), capture tha MAH scenarios then identification of SCEs/SCTs can
listed out and provided with an inspection and maintenance schedule (based be done. The current tool may lead to identify non critical
on the relevant standards and codes)\ elements as SCEs or to miss some SCEs.

Sample inspection and follow up records, especially for SCS (e.g. relief valves)

Check Management of Change and how it is implemented/followed up/

- Sample MoCs
Reviewed and Audited

Review any Occupational Injuries and illness in the past 5 yrs. and check
whether they have been assessed and corrective actions are reflected in future
training, procedures, safeguards, etc.

Operating Procedures

Are there written operating procedures for the processes? Have the Operators - SoPs sample with operators
been involved in their preparation? names on it

Do operating procedures provide clear instruction for conducting activities

- SoP sample
safely?
Are these procedures accessible to employees who work in or maintain the
- Photos
process"?
Are these procedures followed by everyone (staff/Contractor)?

Are procedures covering startup, normal ops, temporary ops, shut down,
emergency shut down, information about operating limits and any deviations SOPs
from normal conditions/limits, specific hazards related to a certain activity

Are there specific procedures, for a) Lockout/tagout? b) Confined space entry?

c) Opening process equipment or piping? d) Control over entry into a process - Sample procedures
by various people?
Safe Work Practices
Is there a Written Program that requires PTW?

TÜV Rheinland – PSM Audit Template

CCPS RBPS Overview Training
Audit Protocol - Example

Item / Question Findings Possible Evidence Scoring Recommendations

Review sample of PTW against Co. Procedure for compliance, check

authorization of PTW, comments, etc. Review also a PTW issued to an outside - PTW sample
Contractor
Asset Integrity & Reliability (incl. Maintenance)

Check Mechanical Integrity Procedures if they include Pressure Vessels, Storage

Tanks, Piping, Relief/vent systems, Emergency S/D systems,
Controls/monitoring systems, pumps and in general static/rotating equipment

Check Procedures for definition of inspection, preventative maintenance,

turnaround maintenance and where they have been based on (e.g. on
Manufacturer recommendations, preventative maintenance, good engineering
practices, etc.

- Maintenance procedures
Check Inspection/Maintenance Records against Inspection/Maintenance
- Maintenance/Inspection
Procedures for correct implementation
records sample

Management procedure for disarming/disabling alarms & trips

- Maintenance procedures
Check Maintenance procedures for Safety Critical Equipment/Devices - Maintenance/Inspection
records sample

- Maintenance procedures
Sample Maintenance Records for actions to be taken and whether they have
- Maintenance/Inspection
actually being implemented
records sample

Interview Operators on whether the Maintenance and Inspection procedure is

implemented. if there are any gaps identified by Operators/Management how
they are addressed?
Waste management
Procedures for handling solid and hazardous waste, waste minimization
procedure
Contractor Management
Is there a Procedure describing the Tasks that Contractors are undertaking, - Contractor system
during maintenance, etc. documents
Check competency of Contractors, whether they are following their own SMS or - Contractor system
Companies SMS, whether they are adequately trained for the job documents

TÜV Rheinland – PSM Audit Template

CCPS RBPS Overview Training
Audit Protocol - Example

Item / Question Findings Possible Evidence Scoring Recommendations

Have Contractors been provided with Induction training, safety training for task - Induction training and TBT
to be performed, hazards on site records
- Induction training and TBT
Are Contractors aware of Site Emergency Plan and actions to be taken during
records
an emergency?
- Training material
- Induction training and TBT
Do Contractors undertake on-going training as per job requirements?
records
Training & Performance Assurance

Have employees/Contractors received Initial HSE / Process related training and - Induction training and TBT
specific training prior to a particular task? Provide Training Records records

Has a competent person prepared the training material? Is the material

reviewed independently and periodically?

Has the Company Man't reviewed the Employee/Contractor training program - MoM of a monthly
to ensure that is adequate? management review meeting

Are tasks with health and safety implications specifically identified and
addressed?
Is refresher training being provided, especially after changes in process, etc.
systems
Are training sessions marked by an Assessor? Identify correction method for
- Sample assessments
personnel that do not pass the minimum grade
Management of Change (MoC)
Is there a MoC procedure that specifies the process in place?
Does the MoC addresses the impact of change to health and safety,
modifications to O&M Procedures, safety requirements (e.g. PPEs), time - MoC template
required for change, authorization requirements?

Are people who are affected by the change consulted during the MoC process? - MoC filled-in form

Operational Readiness and Conduct of Operations

Are Pre-start up Safety Reviews (PSSR) being performed for new facilities?

Have PSSRs been conducted for modified facilities? Do they need a change in
the process safety information?
Review PSSRs to confirm that safety, operating, maintenance and emergency
procedures are in place and are adequate
Has a PHA be performed prior to a PSSR? Have the recommendation being
implemented prior to start up?
Procedures and Maintenance Records for all equipment

TÜV Rheinland – PSM Audit Template

CCPS RBPS Overview Training
Audit Protocol - Example

Item / Question Findings Possible Evidence Scoring Recommendations

Do Operating and Maintenance Procedures reflect current systems in place? SOPs, etc

Are safe work practices followed by everyone?

Are adequate personnel allocated to various tasks

Emergency Management

Provide Onsite (and offside if applicable) Emergency Response Plan (ERP) for all
- ERP document
identified emergencies

Ensure ERP covers: reporting, notification, evacuation arrangements, assembly,

all clear procedure, pollution containment, decontamination, essential - ERP document
emergency contact numbers
Ensure Emergency Plan indicates responsible person for future updates due to
- ERP document
e.g. process change, etc.
- training material and
Has the Emergency Plan been communicated to all personnel/contractors? records.
- Photos
- Drill scenarios and relevant
Are emergency drills identified (with specific scenarios, as required)?
reports.
Are all Safety related facilities (fire extinguishers, PPE, safety showers, etc.
- inspection reports
tested regularly)?
Review certification of all Emergency related equipment - inspection reports
Incident Investigation
Check Incident Investigation Log

Are incidents investigated promptly, lessons learned updated and reflected in

procedures/training

Is incident investigation outcome communicated to the whole workforce?

Measurement & Metrics

Is the overall PSM system assessed and measured? This could help in having a
tangible measure of SHE improvement for the facility

TÜV Rheinland – PSM Audit Template

CCPS RBPS Overview Training
Audit Protocol - Example

Item / Question Findings Possible Evidence Scoring Recommendations

Auditing
Is there an independent Audit system in place?
Are PSM audits certified to verify that the procedures and practices developed
under the PSM Standard are adequate and are being followed?
Review previous Audit reports, especially whether any corrective findings have
been reported and how have they been implemented
Management Review & Continuous Improvement

Does the facility or company have a written management system procedure

- MR procedure
that governs the conduct and follow-up of PSM program management reviews?

- MoM
Are management review findings reported and analyzed?
- communication emails

TÜV Rheinland – PSM Audit Template