Isolation and lockout system audit

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

3.0 Scope

• Are the requirements of this element applied to all activities where the inherent hazardous energy could cause a fatal or serious injury (Distinguish between functional hazards and activity based hazards)?

  Yes

  No

  N/A

• Is the element applied to all fixed plant, mobile plant, machinery and equipment?

  Yes

  No

  N/A

• Is this element applied to all personnel (including contractors) working in the Group Company?

  Yes

  No

  N/A

4.0 Accountability

• Is there a process in place for formally appointing a person or persons other than CEO to be accountable to implement and maintain each requirement

  Yes

  No

  N/A

• Has a person or persons other than the CEO been assigned accountability for implementing and maintaining each requirement of this FPE?

  Yes

  No

  N/A

4.1 Hazard identification risk assessment and control

• Has the survey been preformed?

  Yes

  No

  N/A

• Does the survey meet the requirements of this element by covering all hazardous energy sources and all plant, machines and equipment within the plant?

  Yes

  No

  N/A

• How have hazardous energies been identified?

  Compliant

  Non-compliant

• Is the survey report set out to show the requirements:<br>The type of Plant/Equipment/Machine<br>

  Yes

  No

  N/A

• Its identification name or number / HAC code and location

  Yes

  No

  N/A

• The different types of hazardous energy sources associated with that Plant/Equipment/Machine

  Yes

  No

  N/A

• The isolation points for each identified hazardous energy source (these may be local and/or remote)

  Yes

  No

  N/A

• Has the Group Company undertaken a critical task analysis (risk assessment) of each isolation to determine if a documented safe work procedure is required?

  Yes

  No

  N/A

• Does the group company have a “generic’ isolation process which can be applied to isolations which don’t have a specific procedure?

  Yes

  No

  N/A

• Is this generic Process also applied within the documented procedures to ensure consistency in application and safety?

  Yes

  No

  N/A

• Do the safe work procedures meet the requirements of this element?

  Yes

  No

  N/A

• Are there documented procedures for live testing?

  Yes

  No

  N/A

• Are these procedures approved by an authorised person?

  Yes

  No

  N/A

• Is there an authorised isolation officer?

  Yes

  No

  N/A

• Is there a formal Isolation and lockout procedure/process/requirement which meets steps set out in this element?

  Yes

  No

  N/A

• Are visitors issued with a visitors lock?

  Yes

  No

  N/A

• Is the isolation officer required to supervise the visitor placing their lock?

  Yes

  No

  N/A

• Is there a task analysis tool available?

  Yes

  No

  N/A

• Is the task analysis tool applied to isolations which do not have a formal documented isolation procedure?

  Yes

  No

  N/A

• Does the task analysis tool require the identification of hazardous energies?

  Yes

  No

  N/A

• Is the nature and type of isolation identified in the task analysis?

  Yes

  No

  N/A

• Is there a process to ensure this requirement is met?<br>

  Yes

  No

  N/A

4.2 Selection, Training, Competency and Authorisation

• Is there a training and competency assessment system?

  Yes

  No

  N/A

• Is this system based on any local, national or international workplace competency system?

  Yes

  No

  N/A

• If not how are personnel assessed as being competent?

  Compliant

  Non-compliant

• Have competency standards been set for the positions?

  Yes

  No

  N/A

• Has training and assessment taken place?

  Yes

  No

  N/A

• Is there an authorization system in place?

  Yes

  No

  N/A

• Is the training and results of assessments recorded?

  Yes

  No

  N/A

• Is an overview included in the general induction?

  Yes

  No

  N/A

4.3 Communication and awareness

• Is there a change management process in place?

  Yes

  No

  N/A

• Is this process used to assess the risks and communicate the change?

  Yes

  No

  N/A

• Are the people who will be impacted by the change identified?

  Yes

  No

  N/A

• Are the changes communicated to the impacted persons?

  Yes

  No

  N/A

• Is there an isolation and lockout awareness program?

  Yes

  No

  N/A

• Are the personnel who install, construct, inspect and maintain plant/equipment/machines targeted in this awareness and instruction program?

  Yes

  No

  N/A

• Does the awareness program specifically address: Reasons for isolation and lockout

  Yes

  No

  N/A

• Types of energies needing to be isolated

  Yes

  No

  N/A

• The difference between single isolations and multiple isolations

  Yes

  No

  N/A

• The rules and procedures associated with isolation and lockout

  Yes

  No

  N/A

• Are legal compliance requirements known and considered as one of the reasons for undertaking Isolation and lockout?

  Yes

  No

  N/A

• Do documented Isolation and lockout procedures exist?

  Yes

  No

  N/A

• Are they available in the workplace to people who perform isolation and lockout?

  Yes

  No

  N/A

• Are they adequate to perform an isolation safely?

  Yes

  No

  N/A

4.4 Design, Purchase, Fabrication, Installation and Commissioning

• Have design/purchase specifications been developed for plant/equipment to ensure that hazardous energies can be isolated and locked out?

  Yes

  No

  N/A

• Are the specifications applied to the design, purchase, hire or contracting of all fixed and mobile plant?

  Yes

  No

  N/A

• What are the design / purchasing specifications based on?

  Yes

  No

  N/A

• Is there a colour coding or similar distinction between the different types of locks required in the isolation process?

  Yes

  No

  N/A

• How has the group company ensured that personal locks can only be opened with the key provided?

  Compliant

  Non-compliant

• Is there a formal commissioning system in place to ensure that plant and equipment has been inspected to confirm it has the capacity to be isolated?

  Yes

  No

  N/A

• Does it apply to all?

  Yes

  No

  N/A

4.5 Work method and condition control

• Is plant/equipment/machines assessed before work commences near or on them for the potential release of hazardous energies?

  Yes

  No

  N/A

• Is isolation and lockout applied before work commences?

  Yes

  No

  N/A

• Is there a competency criteria established for a person to be able to identify isolation points?

  Yes

  No

  N/A

• Are the people who do this in the group company formally trained?

  Yes

  No

  N/A

• What is the formal training process and does it meet the requirements of this standard?

  Yes

  No

  N/A

• Is there a training program in place to train personal lock holders?

  Yes

  No

  N/A

• Is it adequate i.e. does it meet the expectations of this standard?<br>

  Yes

  No

  N/A

• Does the isolation procedure or regulation have a documented process for the removal of a personal lock in exceptional circumstances? i.e. person has been found but is unable to return to site

  Yes

  No

  N/A

4.6 Maintenance

• Has the specialist equipment used to meet the requirements of this standard been identified?

  Yes

  No

  N/A

• Has a maintenance program been established in accordance with the element requirements?

  Yes

  No

  N/A

• How is maintenance / repair work recorded?

  Yes

  No

  N/A

4.7 Emergency control

• Has the group company considered the possible injuries from an isolation failure?

  Yes

  No

  N/A

• Does it have the capabilities (trained people, equipment and facilities) to provide first response for these injuries?

  Yes

  No

  N/A

• Has the group company developed a plan or entered into an arrangement to manage these potential injuries beyond first response i.e. does it have an adequate arrangement with local medical facilities (hospitals) to provide that support?

  Yes

  No

  N/A

• Has the first response capability been tested? If so how?

  Yes

  No

  N/A

• Has the GC tested the response capabilities of the hospital secondary responder to such injuries?

  Yes

  No

  N/A

4.8 Monitoring, inspection and audits

• Are isolation points included on planned inspection programs (checklists)?

  Yes

  No

  N/A

• Are these checklists developed for all plant/equipment and machines?

  Yes

  No

  N/A

• Are the results of these inspections recorded?

  Yes

  No

  N/A

• Is there a task/safety observation procedure?

  Yes

  No

  N/A

• Is there a task/safety observation program in place?

  Yes

  No

  N/A

• Does the program regularly cover:<br>Permit issuing procedures

  Yes

  No

  N/A

• Isolation and lockout procedures

  Yes

  No

  N/A

• Quality and scope of isolation and lockout in respect to the task being observed

  Yes

  No

  N/A

• Are the observers trained in isolation and lockout?

  Yes

  No

  N/A

• Does the group company have an annual audit program for its response to the requirements of this FPE?

  Yes

  No

  N/A

• Does the audit program evaluate the group company’s response for quality and effectiveness against the requirements of this element?

  Yes

  No

  N/A

4.9 Reporting, assessment and corrective actions

• Are there processes in place for reporting deficiencies in the I&L process e.g. hazard reports, incident reports?

  Yes

  No

  N/A

• Are non compliance with I&L processes required to be reported?

  Yes

  No

  N/A

• Are defects with Isolation and Lockout required to be reported?

  Yes

  No

  N/A

• Are corrective actions recorded and are action completed?

  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