Information

  • Audit Title

  • Document No.

  • Client / Site

  • Conducted on

  • Prepared by

  • Location
  • Personnel

3.0 Scope

  • • Are all staff and contractors aware that this FPE applies to their activities?

  • • Ask if there are any exemptions and who authorised them

  • • Inspect a range of fixed and mobile equipment for isolation points. In particular on site contractors and mobile equipment

  • • Discus this requirement with contractor and GC personnel and evaluate their level of awareness.

  • • Evaluate their understanding of the scope and application of the element. E.g. ask if it applies to all or only some.

4.0 Accountability

  • • Ask for the people who have been formally appointed to be available for the audit.<br>

  • • Are they aware of their appointment

  • • Are they able to explain and show the auditors how the requirements they are accountable for are implemented and maintained?

4.1 Hazard identification risk assessment and control

4.1.1

  • • Have all areas of the plant/site been included in the survey?

  • • Validate the survey results by undertaking a site inspection? Have any areas been missed or excluded? Ask reasons.

4.1.2

  • • Has each department determined what SWP’s are required?

  • • Have all the required SWP’s been developed?

  • • Review the list of isolations requiring a SWP.

4.1.3

  • • Sight SWP’s in use. Do they comply with the requirements?<br>

  • • Where are SWP’s held during the task?

4.1.4

  • • Are personnel aware of this requirement?

  • • Ask to meet a selection of authorised isolation officers and discuss their understanding of their responsibilities.

  • • Observe isolations in the field. Do they comply?

  • • Ask the isolation officer to explain the isolation to you. Does the explanation follow the process?

  • • Is the master lock process in use?

  • • Are short term contractors/visitors issued a visitor lock? Check in the field.

  • • Review an operational isolation permit for compliance.

4.1.5

  • • Ask for a number of selected personnel to undertake a task observation for an isolation.

  • • Are they familiar with the task observation process?

  • • Do they correctly identify the hazardous energies and the controls?

4.1.6

  • • Ask to be shown survey records and storage methods. Test retrieval process.

4.2 Selection, Training, Competency and Authorisation

4.2.1

  • • Ask to see personnel’s authorizations in the field.

  • • Check if training records match or are up to date.

4.2.2

  • • Ask a selection of personnel if they have undertaken the general induction and what they remember about isolation and lockout.

4.3 Communication and awareness

4.3.1

  • • Are documents updated when changes occur to Isolation and Lockout SWP’s?

  • • Are personnel informed of the changes?

4.3.2

  • • Ask selected staff and contracting personnel who are involved in isolation to explain their understanding of the requirements

4.3.3

  • • Are personnel provided with adequate instructions and access to relevant SWP’s prior to commencing isolation and lockout tasks?

  • • Do personnel have a level of awareness of isolation and lockout risks relative to their exposure / role?

4.4 Design, Purchase, Fabrication, Installation and Commissioning

  • • Are design personnel aware of the equipment design specifications?<br>

  • • Are purchasing personnel aware of the equipment purchasing specifications?

  • • Does existing equipment reflect these specifications?

  • • Check compliance in the field.

  • • Review personal and other locks in the field.

  • • Ask if there are any exemptions.

  • • Ask to be shown how an inspection and assessment would be conducted against a selected piece of equipment

4.5 Work method and condition control

4.5.1

  • • Observe if hazardous energies are adequately controlled in the field. Look for both function based hazards i.e. those that belong to the equipment and activity based hazards. i.e. those that belong to the work activity<br>

4.5.2

  • • Ask to observe isolation officer apply master locks. Can be simulated in the field?

  • • Is the correct procedure followed?

4.5.3

  • • Ask personal lock holder to describe isolation process.

  • • Ask personnel lock holder to demonstrate how they would isolate a piece of equipment

4.5.4

  • • Ask selected personnel to explain what would happen if they left their lock on and went home.

  • • Ask the isolation officer to describe the lock removal process.

4.6 Maintenance

4.6.1

  • • Are the maintenance schedules being adhered to?

  • • Have all systems, plant and equipment identified in the survey been fitted with isolation points?

  • • Do maintenance personnel understand the requirements?

  • • What is the general condition of isolation and lockout equipment?

  • • What is the general condition of isolation and lockout test equipment?

4.7 Emergency control

4.7.1

  • • Ask selected personnel if they have had first aid training and or know what to do in an event involving an isolation failure.

  • • Ask site based ER members the same.

  • • Review ER facilities on site are they adequate to deal with such injuries until more qualified help arrives or the injured person is taken off site.

  • • Evaluate contracted off site ER responders capability and response times.

4.8 Monitoring, inspection and audits

4.8.1

  • • Ask to observe a planned inspection tour

  • • Review completed planned inspection reports. are they adequate.

4.8.2

  • • Review planned task observation schedules. Do they specifically incorporate Isolation and Lockout activities?

  • • Review the records of planned task observation audits. Are they being performed correctly?

  • • Are there any trends in the non-conformances identified?

  • • Ask personnel what they look for when observing Isolation and Lockout activities.

4.8.3

  • • Are audits performed in accordance with the audit schedules?

  • • Review completed audit reports.

  • • Have the audits verified the quality and effectiveness of the requirements set out in this element?

4.9 Reporting, assessment and corrective actions

4.9.1

  • • Can employees explain what sort of deficiencies or damage with Isolation and Lockout equipment must be reported?

  • • Check a sample of Isolation and Lockout equipment. Does the condition indicate hazards or defects are not being reported and/or actioned?

  • • Review records of hazard / defect reports on Isolation and Lockout equipment and the associated corrective actions.

Conclusion and auditor's comments

  • Date of audit completed

  • Signature of auditor

  • Date of auditor's signature

  • Signature of auditee

  • Date of auditee's signature

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