SRAT SAP Audit checklist Substations v3

Information

Audit Number
Auditor
Location
Conducted on

SAP Details

SAP Name.
SAP Payroll No.
SAP EUSR No.

AP Details

AP Name
AP Payroll No.
AP EUSR No.

CP Details

CP Name
CP Payroll No.
CP EUSR No.

Work Audited

Work Description
Safety Document Type/No.

SRAT Point of Work Risk Assessment

Is the area clear of hazards from HV Electricity that require additional control measures?
Is the area clear of hazards from Slips, Trips or Falls on the same level?
Is the area clear of hazards from Falls from Height?
Is the area free from hazards from Chemicals/Harmful Substances?
Is the area clear from hazards from Falling/Flying objects?
Is the area free from hazards from Heat/Fire/Explosion?
Is the area free from hazards from Asphyxiation/Drowning?
Is the area free from hazards from contact with moving parts?
Is the area free from hazards from Objects overturning/collapsing?
Is the area free from hazards from Manual Handling?
Is the area free from hazards from vehicles?
Is the area free from hazards from the work of others?
Is the area free from hazards from entry into confined spaces?
Is the area free from hazards from Dust?
Is the area free from hazards from Fumes?
Is the area free from hazards from Noise?
Is the area free from hazards from Vibration?
Is the area free from hazards from Electricity?
Is the area free from hazards from Radiation?
Is the area free from hazards from poor Lighting?
Is the area free from hazards from Temperature (high or low)?
Is the area free from hazards from Lone Working?
Is the area free from hazards from adverse weather?

Audit Notes/Previous Findings etc.

Use this space to record previous audit findings or just as a jotter to make notes during the audit.
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Section 1 - Isolation

Category 1 - POIs

1-1 NSI 1 4.4 & SR P 3.2. Have all POIs and LV/Mech safety precautions listed on the safety document(s) been locked in to key safes (except items returned under ROMP)
1-2 SR R4.2b Have LV POIs been locked when reasonably practicable.
1-3 SR R5.2b Have Mech POIs/Drains been locked when reasonably practicable.
1-5 SRG R5.1 Fire Protection Areas - Have Water Systems been Isolated if they cause danger. Have Gas or Chemical Systems had POI's established.
1-6 NSI 3, 5.1 c. Metal Clad Switchgear - Shutters of spouts which are live or may become live must be locked shut.
1-7 SR 3.2c Check HV POIs are locked and cautioned.
1-8 NSI 33 4.5 1 Construction - Is the SAP managing LV and Mechanical plant Connection to the System. Prior to initial connections plant declared as Equipment and part of System requires a System Connection form should be issued.
1-9 SR, P 3.1. 1 Construction - Are arrangements in place to ensure in the above cases physical separation from equipment that is not part of the system to the system is maintained throughout the work (min Safety Distance).
1-10 NSI 14 1 Have POI’s been established for all remote / Automatic operations?
1-11 NSI 14 1 If isolations are returned under ROMP document, have the isolations been established such that the ROMP supplies do not restore control from Remote / Automatic operations?
1-12 Are all POIs necessary for the work established? (HV,LV,Mech)

Section 2 - Earthing

Category 2 - Earthing

2-1 SR R3.2 For the work being audited on the Safety Documents(s) is primary earthing correct against the operational drawing for the work being undertaken
2-2 Where reasonably practicable Primary Earths should not be within the work area. If primary earths are in the work area are the precautions established adequate to ensure their integrity is maintained throughout the work
2-3 Has 9 metre or 30 metre rule been applied correctly. where not RP to apply between POI and work area primary earths may be placed so as to have a similar electrical effect e.g. permanent tee point or beyond point of work
2-4 Have all Fixed Earths listed on the safety document(s) associated with the work being audited been locked in to key safes(Except those returned under a SFW)?
2-5 Are there infeeds from aux or earthing transformers, is it reasonably practicable to apply primary earths between the POI and POW, if not has the 9 metre rule or if not practicable double isolation on the LV side been used correctly
2-6 Check earthing is correct against VT LV POI's. PE between POW & VT, PE remain solidly connected to the HV side of the VT or PE solidly connected to a teed section between the POW & VT throughout the course of work If disconnected LV POI & drain earths to be used or 2 POIs on LV side.
2-7 If Restricted Earthing Device used, has it been managed to ensure it does not make/break currents the Earth is not rated for.
2-8 Are Primary Earths positioned inside the zone established by POIs. Where reasonably practical Earths should be positioned between POI and work.
2-9 Was the 1st earth applied a fixed earth. If not reasonably practicable was first PPE applied to a short bar where POIs are visible or indirect earthing via CB or disconnector
2-10 Have Portable Primary Earths applied more than 6 months been replaced in agreement with Control Person Safety and quarantined?
2-11 Has the SAP carried out a risk assessment for the application/removal of Portable Primary Earths and recorded it correctly on the rear of the switching sheet or if enhanced RA required used Model RA.
2-13 Have Portable Primary Earths been labelled to identify them as Primary Earths?
2-14 Are Portable Primary Earths correctly attached: • Not attached to co-ordinating gaps or corona rings etc.
2-15 Have the correct number of Portable Primary Earths been applied and are they applied to all phases except on phase segregated Equipment.
2-16 Has Earth Tape been cleaned prior to attachment of Portable Earths.
2-17 Is IV adequately controlled by the provisions on Earthing Schedule
2-18 Are issued drain earths and earthing pole etc safely managed by Competent Person? If not applied/being applied are they locked away so that only CP can gain access to them.
2-19 If Earthing Schedule is issued is it correct i.e. clear, legible and with a clear sequence for application and removal of drain earths
2-20 Has the Competent Person undertaken a personal risk assessment for the application of Drain Earths?
2-21 Has the SAP used the Earthing Schedule suspension process correctly using Status of Transfer and Key Safe to allow non-NSI 2 authorised CP to hold document. Does CP know the process is in force and hold a key securing Earthing Schedule.
2-22 Is the scaffold earthed with Field equipment earths (orange) at 5m intervals or as instructed by the SAP. Have the scaffolders been instructed not to touch clear sheathed earths
2-23 Does the MEWP have an adeuate electrical bond between the acess platform & vehicle chassis? Are field equipment earths issued and applied correctly to Cranes & MEWPs etc
2-26 Earth systems - SAP should RA before working on earth systems or approaching disturbed earth tape, rating of temporary conductors should be considered. Written RA required where earth tape removed from a structure or tower, buried earth tape disturbed, main earth system not intact
2-28 Earth Systems - Has SAP specified number of Type A Bonds on Earthing Schedule or Method Statement? Have Earth bonds been correctly applied / removed. Is the break bridged by a fully rated type 2 bond not a type 1 blue bond
2-29 Capacitor Banks - Earthing Schedule shall be issued by SAP stating Drain Earth shall be applied to connection point between any Capacitor Bank and any Reactor.
2-30 Capacitor Banks - The SAP preparing a PFW shall specify the positions for the application of discharge stick and any short-circuiting leads on a Earthing Schedule.
2-31 Capacitor Banks - If shorting swtches are to be maintained, have they initially been closed, quoted as precautions that may be varied and managed by an Earthing Schedule.
2-32 Capacitor Banks - Shorting Switches closed by an SAP acting as an Authorised Person and recorded in Section 2 of Safety Document "Actions taken to avoid Danger"
2-33 Earth Systems - Has specialist advice been sought when appropriate? E.g. significant earth tape disturbance or where Type Registered Bonds cannot be used?

Section 3 - Control

Category 3 - Control

3-1 Operation of non interlocked Equipment - SAP if inside zone created by POI's or OA1+OA2 if outside zone established by POIs.
3-2 Are the correct Safety Rules and NSIs being applied for the work (Ref Site Responsibility Schedule if required)
3-3 Is the Operational Key Cabinet(s) locked correctly i.e. secured by AP lock
3-4 Is cross locking of key safes completed correctly & the SAP control lock correctly applied.
3-6 Are there safety key(s) identified on active safety document(s) not secured by the Key Safe Key, ROMP or SFW Procedure issued with the Safety Document?
3-7 Have Key safe content labels been updated by the SAP with relevant information.(cascaded keys location, PFW No. etc.)
3-8 Is the number of key safes available in the switching office reasonable for the size of site
3-9 Safety documents being audited are correctly identified on T card(s) and correctly located on status board with current recipient or location if in safe custody recorded on the rear.
3-10 POIs and Earthing T card(s), updated with reference to relevant Safety Documents on the rear
3-11 Complete overview check of status board, are there obvious errors on the board e.g. overcrowded/ incorrect or missing TLs or exclusion zone information or circuits etc.
3-12 SFW: check no other safety documents are in force within the isolated zone
3-13 ROMP PFW/SFW check this is the only safety document on the equipment
3-14 15 drawer cabinet, check that the contents are the current safety rules guidance and procedures.
3-15 Is the Switching Office tidy and free of obvious hazards
3-16 Is there an adequate supply of pre-printed Safety Documents available on site for business continuity purposes (currently old type pads are adequate).
3-18 Has the SAP used the ROMP suspension process correctly using Status of Transfer and Key Safe to allow non-ROMP authorised CP to hold document. Does CP know the process is in force and hold a key securing ROMP supplies.
3-20 Is the Competent Person keeping safety documentation and associated items in safe custody & available at the point of work.
3-21 Has the Senior Authorised Person identified any LV systems that remain live to the competent person in charge of work.
3-23 Temporary identification labels are correctly fixed to equipment clearly identifying the equipment and words are the same as on the safety documentation
3-24 The correct key safe key(s) issued and present
3-25 Has any additional work been correctly added to the safety document, work communicated to working party
3-26 In the opinion of the auditor has the Competent Person adequately been set to work by the Senior Authorised Person
3-27 In the opinion of the auditor at time of audit is Competent Person managing his responsibilities adequately
3-28 If reasonably Practicable, has the SAP walked the Safety Precautions and demonstrated them to the CP cross referencing them with the Safety Document & Operations diagram.
3-29 If not controlled via a safety document are fire protection system controls in place sufficient to ensure a safe system of work
3-30 Has SAP communicated with other parties: The SAP must communicate with others e.g. OHL, construction, other SAPs, other Working Parties who may be affected by the issue of the Safety Document
3-31 Has the Senior Authorised Person had sufficient time to plan the work.
3-32 Does the Senior Authorised Person think there are enough people with the correct skills to complete the planned work.
3-33 Are Approved G3 procedures used for the work when Safety Rules cannot/ should not be applied, is this correct application of the G3 for strong commercial or technical reasons
3-34 If Scaffold is being used has the Senior Authorised Person managed the erecting, removal considering possible loss of control of poles
3-35 Are mechanical hazards identified and controlled e.g. stored energy trapped air
3-36 GIS - Has Capacitive Trapped Charge been managed by the SAP.
3-37 GIS - Has Competent Person verified oxygen content in gas zone prior to entry and completed Part B of Zone Access Control Form?
3-38 GIS - If toxic breakdown products detected, has access been restricted and procedure enacted?
3-39 GIS - Upon clearance or transfer of the Safety Document, has the Competent Person shall stated the condition of the Gas Zone by completing Section (E) or (D) of the Gas Zone Access Control Form immediately prior?
3-40 LV screening is correctly applied using the appropriate control measures.
HV Cables - Cable should be positively identified. By records or Identification tests, SAP must carry out identification tests in presence of Safety Document recipient. Has the SAP marked the cable at the point of work?
HV Cables - Has a Safety Document been issued prior to interference with cable sheath & associated bonding links?
HV Cables - Has the cable been spiked if it cannot be visually identified over its length to the point of work?
HV Cables - Is the cable connected to an OHL or GIS? Has IV been suitably managed?
3-57 HV/LV Cables - Has the SAP identified earthed working where RP or Insulated working where not RP or undesirable on cables subject to impressed voltages.
3-45 HV Cables - Has the SAP specified the correct SSOW for working on metallic cooling pipes under impressed voltage conditions.
3-46 HV Cables - Buried or underground cables - HSG47 advice should be followed, records, planning, location, ground marking.
3-47 LV Cables - Has the work been correctly determined to be carried out under NSI 5 where subject to impressed voltages or NSI 12 if not?
3-56 LV Cables - Has the LV cable been positively identified?
3-48 Earth Systems - Has specialist advice been sought when appropriate? E.g. significant earth tape disturbance or where Type Registered Bonds cannot be used?
3-53 Does the quantity of P3 findings result in a repeat audit required and, therefore, a P2 as per AMBP 073 5.8
3-54 If the SAP was authorised less than 12 months ago, does he have a 12 month development plan established and agreed with his TL?
3-55 Are the correct number of Safety Keys issued and are they unique with no duplicates available?

Section 4 - RAMS

4-1 Has the SAP used the new Model RA? Does the RA provided for the work identify all obvious safety from the system and general safety hazards & controls? Is the work area tidy and free of obvious hazards?
4-2 Is Work at height effectively managed
4-3 Are the risk assessment and method statement integrated to develop a safe system of work
4-4 In the opinion of the auditor at time of audit is a safe system of work in place for the work being undertaken
4-5 If applicable have contractors completed RA/MS and has the SAP developed RAMS for management of safety from the system, Client & Occupier Hazards consistent with contractors RA/MS
4-6 If the Safety Document covers both contractors and NG activities has the SAP ensured there is no confusion regarding the RAMS being for SFTS only for the contractor.
4-8 Has Sensible Monitoring been carried out as appropriate for the work being done and is this recorded on a Sensible Monitoring Checklist.
4-9 Have tool box talks been carried out at the issue of the document and subsequently due to changes / additions to the working part or as a requirement in RAMS. Are there completed tool box talk / personal RA forms available for checking from the CP
4-10 For any additional work have RAMS been updated and content communicated to the working party
4-11 Has the CP had the RAMS content explained to him at the issue stage does he understand its content and agree with it
4-12 If section 1 of Safety Document includes equipment which the SAP is not authorised for, has he taken advice from a suitably authorised SAP and recorded this in his RAMS.
4-13 For live LV work, is working live justifiable, Has a suitable and sufficient Risk Assessment been carried out with appropriate controls in place.
4-14 Transfer of Roles/Responsibilities - have transfers been minimised where possible; have transfers been carried out correctly ensuring the individual is aware of his responsibilities.
4-15 Are RAMS provided for the work identifying all obvious safety from the system and general safety hazards & controls? Is the work area tidy and free of obvious hazards?

Section 5 - Safety Documents

5-1 Are the HV, LV & Mech safety precautions and Primary Earths identified on the safety document adequate for the work being undertaken
5-2 Does the Safety Document correctly identify equipment contents adjusted to a level which avoids danger. Equipment i.e. Drained, Vented, Purged with stored energy released/controlled to avoid danger
5-3 If a Safety Document Continuation Sheet has been used is it correctly referenced on the main safety document and is the safety document number referenced on the safety document continuation sheet
5-4 Safety Document(s) which are prepared, clearance or in transfer, stored in Card Safe or safe custody
5-5 Is a clearly marked "copy" of the issued document printed in white and completed with relevant issue details available in case the original document is lost. If no Safety Document Issued is a copy of the RAMS available.
5-6 Safety Document consent from paper/card copy not from computer screen
5-7 The Safety document(s) are legible and printed correctly
5-8 Safety Document - Are all relevant sections completed with N/A where necessary and no typos/incorrect references etc.
5-10 Check there are no crossing out in Section 1, other crossings out are completely obliterated and initialled by the SAP.
5-11 Are additional safety precautions such as Earthing Schedule, ROMP, SFW referenced in the "Further Precautons" of the Safety Document.
5-12 If the SD Has IGDD POI's and transfer(s) have taken place has this been recorded correctly including transfer of CP telephone details to CP(S) and recorded in Part 2 of the Status of Transfer Form.
5-13 Does equipment identification on safety document match that on the equipment
5-14 Working party register issued all relevant Sections completed correctly references to other documentation completed, Section 2 updated by document holder. If extra WPRs issued are all copies available with work pack.
5-15 Status of transfer form issued and completed correctly if applicable
5-16 For POI dependant on SF6 gas density (IGDD) are telephone contact details of SAP and CP recorded with CP(S).
5-18 Are approved Sanction for Work and/or ROMP procedures referenced on the Safety Document?

Section 6 - Access & Demarcation

6-1 Demarcation access point provided & notices present clear and up to date.
6-3 Demarcation equipment & notices in good condition
6-4 Has SAP included Designated Vehicle Access Point(s) in a sketch to clearly identify the position to the CP.
6-5 Correct demarcation being used for the safety document type & activitity being carried out.
6-7 Danger notices placed in sufficient numbers and prominent on all adjacent equipment outsides work area
6-8 The work area demarcation is a reasonable size for the work being completed (i.e. as small as possible but as big as required for the work being undertaken)
6-9 The demarcated area is designed considering proximity of adjacent live circuits
6-10 Is the demarcation designed if possible to exclude structures supporting Live Equipment from the work area and access prohibition notices used where necessary
6-12 Any live HV or LV equipment or mechanical hazards within the work area correctly demarcated.
6-13 Are safety distances maintained for the work
6-14 Access through the HV compound or S/S to the work area is managed e.g. Full authorisation to NSI 8, Issue LAC or .Extend work area
6-15 Has the SAP completed a NSI6 risk assessment and included it within the RAMS for the work or was this done as a separate RA and integrated into the safe system of work
6-16 Is the actual demarcation set up as indicated in the NSI 6 drawing.
6-17 Check that a suitable and sufficient RA has been completed for use and movement of vehicles, MEWPs, cranes, objects etc.. as applicable and recorded in RAMS or separately and integrated into the safe system of work
6-18 Vehicle movement adequately controlled within work area with RA
6-19 Were the specific requirements of NSI 8 explained by the SAP to the CP at the setting to work stage, does the CP understand them and is he applying them correctly
6-20 GIS - Has Section A of Gas Zone Access Control Form been completed prior to opening designated access point?
6-21 GIS - Have Designated Gas Zone Access Point notices been replaced with "Vented Gas Zone Access Point Notices"? Prior to working party being allowed access into gas zone?
6-22 GIS - Point of Access Notice displayed at each initial entry point
6-23 Has the SAP ensured the correct demarcation standards for Safety Rule & CDM are used.
6-25 If more than one working party inside the demarcated work area, as suitable controls, communication and co-ordination in place.

Section 7 - Switching

7-1 Line earth circuit colours are recorded, if applicable
7-2 Switching Log. Have recent switching instructions particularly those associated with the work being audited been recorded correctly in the switching log (e.g. AP name CP(O)(S) names clear instruction etc.)
7-3 Switching Instructions are legible, clear and indelible.
7-4 Are Switching Instruction Sheets completed and stored correctly with each completed operation ticked by AP as it was completed
7-5 Have separate key safes been used for Isolation and earthing
7-6 Has the AP checked and confirmed IGDD Gas alarms to Control Person prior to receiving switching instruction for isolation.
7-7 Has the AP recording Switching Instruction using Standard Terminology and Switching Abbreviations.
7-8 Has the A key or one key from the key safe been secured in the operational key cabinet.
7-9 Has the AP correctly completed the Key Safe Contents Cards & S/S SB T-Cards.
7-10 Has LV/Mechanical Switching been carried out correctly? Are they recorded on a T-Card or ROADRAT?
7-12 Have Interlocks been defeated and if so was this completed correctly (OA1, OA2)

Section 8 - Authorisations

8-1 Has the SAP checked appropriate Personnel involved in the work are correctly authorised to do so.
8-2 Has SAP had annual NSI 30 review with his line manager
8-3 Are all EUSR NSI 30 Authorisations correct.
8-4 Has the SAP attended a SAP stand-down day within the last 12 months? f not has the SAP had the information presented and explained adequately?
8-5 Are the AP Authorisations correct for audited switching activities?

SRAT SAP Audit checklist Substations v3

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SAP Details

AP Details

CP Details

Work Audited

Category 1 - POIs

Category 2 - Earthing

Category 3 - Control

Section 4 - RAMS

Section 5 - Safety Documents

Section 6 - Access & Demarcation

Section 7 - Switching

Section 8 - Authorisations

Related checklists

SRAT SAP Audit checklist Substations v3

Free SRAT SAP Audit checklist Substations v3 Checklist

Go digital today!

Convert your paper checklists into digital forms

SAP Details

AP Details

CP Details

Work Audited

Category 1 - POIs

Category 2 - Earthing

Category 3 - Control

Section 4 - RAMS

Section 5 - Safety Documents

Section 6 - Access & Demarcation

Section 7 - Switching

Section 8 - Authorisations

Related checklists