Isolation and Lockout Compliance Audit v1

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

3.0 Scope

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.0 Accountability

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

  Yes

  No

  N/A

• • Are they aware of their appointment

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.1 Hazard identification risk assessment and control

4.1.1

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.1.2

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• • Review the list of isolations requiring a SWP.

  Yes

  No

  N/A

4.1.3

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.1.4

• • Are personnel aware of this requirement?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• • Is the master lock process in use?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• • Review an operational isolation permit for compliance.

  Yes

  No

  N/A

4.1.5

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

  Yes

  No

  N/A

• • Are they familiar with the task observation process?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.1.6

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

  Yes

  No

  N/A

4.2 Selection, Training, Competency and Authorisation

4.2.1

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.2.2

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

  Yes

  No

  N/A

4.3 Communication and awareness

4.3.1

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

  Yes

  No

  N/A

• • Are personnel informed of the changes?

  Yes

  No

  N/A

4.3.2

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

  Yes

  No

  N/A

4.3.3

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4 Design, Purchase, Fabrication, Installation and Commissioning

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• • Does existing equipment reflect these specifications?

  Yes

  No

  N/A

• • Check compliance in the field.

  Yes

  No

  N/A

• • Review personal and other locks in the field.

  Yes

  No

  N/A

• • Ask if there are any exemptions.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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>

  Yes

  No

  N/A

4.5.2

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

  Yes

  No

  N/A

• • Is the correct procedure followed?

  Yes

  No

  N/A

4.5.3

• • Ask personal lock holder to describe isolation process.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.5.4

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.6 Maintenance

4.6.1

• • Are the maintenance schedules being adhered to?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• • Do maintenance personnel understand the requirements?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

• • Ask site based ER members the same.

  Yes

  No

  N/A

• • 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.8 Monitoring, inspection and audits

4.8.1

• • Ask to observe a planned inspection tour

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.8.2

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.8.3

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

  Yes

  No

  N/A

• • Review completed audit reports.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Conclusion and auditor's comments

• Date of audit completed

  Date

• Signature of auditor

  Sign

• Date of auditor's signature

  Date

• Signature of auditee

  Sign

• Date of auditee's signature

  Date