Steve Honour HSE Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Audit scoring criteria Each question / statement within the audit has been considered by the divisional auditor and given an appropriate score given their findings. When a question has been considered "not applicable" the score will be marked as Zero & N/A will be entered into the text field, the score will be subtracted from the "Maximum Score" and "total". Questions are scored from 0 to 4, with 4 being the maximum, the criteria is as follows: 4 - Exceeds and meets requirements and best practice. 3 - System / Controls meet requirements / best practice and operate efficiently and effectively. 2 - System / Controls are below requirements / best practice and are only partially efficient and effective. 1 - System / Controls are under controlled development but are not yet fully operational. 0 - No system is in place, no development in place. This audit assessment system is primarily designed to be objective, but in some areas a judgement made decision has to be made by the auditor (s) upon their observations and on the evidence provided to them. The scores will be expressed as a percentage and a number out if the total available.

1- Major Accident Prevention Plan - what to do before you have an accident covering M.A.R.P, P.R.P & S.I.L.

• A1. M.A.R.P. - Major Accident Response Plan / Emergency plan. Are plans in place detailing what to do in the event of an accident / incident? Are they documented and have they been communicated?

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• A.2. P.R.P Public Response Plan - There is a Communication plan, detailing what to communicate, when to communicate and with whom we should Communicate. This is documented, up to date and individuals responsible have been informed of their duties?

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• A.3. S.I.L. - Safety Integrity Level - is a list available that details all of the critical risk causing equipment? Does the list detail items that need checking, frequency and method of checks (maintenance) & what to do in the event of a failure?<br>

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• A.4. P. R. P. - Public Response Plan - Communication to the outer world. Do the management team member know where these documents are stored in the event of an emergency? Is it clear how updates are managed and who is responsible?

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2 - Formalities - Mostly externally related questions.

• B1. Licenses - is there clear compliance to International Seveso requirements? ( currently level 2, new standard level 3 due in 2015).

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• B2. Work permits - Is there clear compliance against National requirements such as BRZO (NL), COMAH ( UK, Control of Major Accidents Happens), TIPK (Li) etc. please make a note if any other work permits from authorities or third parties are need to run the operations i.e. Local fire brigade etc.

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• B3. Audits - are there any internal or external audit programmes and if so is it clear who is responsible for them and who will follow audits up?

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• B4. Health screening - internal health security measurements, are requirements documents and records up to date? For example UK Vita lung function tests or any other local health requirements.

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3 - Organisation and Personnel (issues related to MAPP or any other sub related matter).

• 1-1 Is the an organisation chart available for viewing and is it up to date?

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• 1-2 Are details available for key SHE site personnel such as contact numbers and deputies? Is the list up to date?

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• 1-3 Are the responsibilities of key site personnel available such as job descriptions & competency requirements for completing Hazop studies? Are the details up to date?

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• 1-4 Is there a skills matrix showing key plant maintenance & chemical handling competence also is information available regarding key personnel technical background and / or experience?

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• 1-5 Has the site defined and communicated the minimum personnel cover required to manufacture foam safely? Has this been communicated?

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• 1-6 Capacity & competence question SHE related?????? This question needs changing not clear

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• 1-7 Does the site know which SHE related issues can be outsourced, has this been investigated?

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• 1-8 Is there a clear SHE induction process for new employees and is this documented with clear up to date records?

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• 1-9 Is there evidence of the correct use of MOC and are the MOC records up to date?

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• 1-10 Are there standard operating procedures and job detail sheets available for inspection? Are they up to date and monitored for current validity?

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• 1-11 Is there evidence that employees are following the SOPs ?

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4 - Monitoring, Audit & Review.

• 1 - Is there information documented detailing an overview of all SHE related meetings and responsibilities available for inspection and is it up to date?

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• 2 - is there a timing plan for all SHE system reviews and audits? Is it up to date?

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• 3 - Are minutes from meetings relating to SHE available and up to date and are actions identified being completed in a timely manner?

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• 4 - Is there a timing plan for TDI / MDI unloading audit and review to check the current checklist?

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• 5 - Is there a log of monthly TDI / MDI unloading within the limits specified by the site licence?

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• 6 - Is there a log of TDI readings ( when & how ), see also A-2; PPE.

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• 7 - Is there evidence that appropriate action is taken when Limit is approached?

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• 8 - Is there evidence of clear communication of learning points from previous accidents and incidents - When? Where? How?

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• 9 - Is there a summary of the indicators used for leading and lagging performance?

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• 10 - Is there evidence of review of local authorities documents ?

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• 11 - Is there a personnel competence matrix available to view and is it displayed and up to date? Is it clear who is responsible for training and documentation of it?

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• 12 - is there evidence of regular training / re- training on SOPs and are the personnel records up to date, detailing when training was delivered and by who?

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5 - Running checklists

• 1 - What is the test plan, test response time during running?

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• 2 - is it clear who us is responsible to act when something goes wrong?

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• 3 - is there a checklist available for inspection detail which checks are carried out during operation? How many are there? Is the checklist current and up to date? Please record the latest update date in this report!

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• 4 - Is it clear what is the minimum number of employees required and what capabilities they need to run the operation?

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• 5 - Is there a What if analysis diagram available showing what to do in the event if a failure during production with maximum allowed mix contents?

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• 6 - How many employees are trained / experienced working with it and is this documented?

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• 7 - Is it clear what the line of command is if something goes wrong and has this been communicated?

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• 8 - Who has this been approve by? Is this documented and available for inspection?

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• 9 - Is it clear and documented how to set & check the formula's before production? Is this done by the same person and how is this logged?

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6 - PPE ( Personal Protective Equipment)

• 1 - Are clear instructions available regarding use of PPE?

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• 2 - How is PPE usage / consumption recorded and managed? Is a good system in use?

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• 3 - Are records available for inspection detailing, PPE usage per person, is it clear where this information is sited and for how long are records kept? Are details archived for the duration of each employees time with the company?

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• 4 - Is it clear who is responsible for checking and ordering PPE stock? Do they understand the shelf life of PPE and filters?

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• 5 - Are personal masks being stored in the correct manner? Are proper locations available for employees to store their masks?

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• 6 - Is there evidence that TDI levels are checked, how often this is done and has the last check been recorded and documented? Is it clear who is responsible for looking after this? How long are records kept?

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• 7 - Apart from gas masks are TDI exposure batches being used? How and who if any?

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• 8 - Is there evidence of regular checks on breathing apparatus including details of how this is done?

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7 - TDI / MDI unloading

• 1 - Is there a documented procedure for unloading TDI / MDI? Is it up to date?

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• 2 - Are regular checks of the condition of valves & hoses? Is a documented procedure available for inspection ?

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• 3 - Is the purchase date of hoses logged and are the hoses tagged indicating purchase date?

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• 4 - Are all hoses visually managed with clear identification of which chemicals each hose is used for ?

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• 5 - Are all hoses certified with a safe integrity level ? Is the maintenance procedure clear and documented, are maintenance records up to date?

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• 6 - Are all incidents reported and do all employees involved with unloading understand how to report an incident?

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• 7 - Actions ISOPA audit implemented?

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• 8 - Are the actions from the latest TDI audit being completed, is there a detailed plan available stating who, when and how actions will be completed?

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8 - P & I diagrams

• 1 - Is there a current and up to date P&I diagram available for inspection?

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• 2 - Is there information on the latest investment & how this was updated?

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• 3 - Are the P & I diagrams in electronic format or hand drawn?

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9 - GN08 guidance note and exotherm instruction ( how to set formulation & test production every day).

• 1 - ATAL test results ( when will there be alarm tests) is it clear who will be informed, who receives an email / text alerts ? What number of channels?

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• 2 - Is it communicated when there will be an alarm? Is it clear who gets alerts and how this us done? Number of channels?

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• 3 - have there been any alerts and is this documented?

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• 4 - If there has been no alerts recently, how long was it since the last on ( please record date), are there practice runs for alerts?

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• 5 - when was the last real life exotherm incident, was this recorded and what was learned from it. Are practice events held so that all employees understand what to do in the event an exothermic reaction?

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10 - VGP POL 01 General

• 1 - How are hazards recorded? Is there evidence that a good, well communicated method exists?

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• 2 - How quickly are hazards reported, are hazards reported in a timely manner?

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• 3 - How are reported hazards communicated to employees, is there evidence of good, clear communication?

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• 4 - Is there a documented procedure to follow when there is an accident, incident or hazard?

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• 5 - Is there evidence of previously reported hazards, incidents and accidents? Are there documented actions and evidence of changes being implemented?

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• 6 - Are hazards, accidents and incidents a fixed agenda point in the management team meeting? Can evidence be shown via meeting minutes etc?

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• 7 - Is the evidence of regular management team meetings being held? How many are held and are details / minutes kept and filed?

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• 8 - Is an external Safety advisor used by the business?

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11 - VGP POL 02 Risk Management policy

• 1 - Are risk assessments carried out on site?

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• 2 - Are recent risk assessments available for inspection, what was the latest risk assessment?

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• 3 - Are risk assessments listed, ranked and are the actions identified prioritised ?

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• 4 - is it clear where risk assessments are filed/stored and who is responsible for this?

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• 5 - Do all processes have a current risk assessment available for inspection?

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• 6 - When was the latest HAZOP performed?

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• 7 - When was the latest What if assessment? Is it documented and available for inspection

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• 8 - Are risk assessments on the management team meetings agenda? Are the latest meeting minutes available for inspection?

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• 9 - Are there records available of learning points from previous exercises from this site and others sites?

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12 - VGL POL 03 Fire Prevention & Protection policy

• 1 - Has a specific fire risk assessment been completed?

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• 2 - Is hot work controlled correctly if it is needed? Are details available for inspection?

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• 3 - Is a current documented plan for dealing with a fire available for inspection?

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• 4 - When was the last time the fire plan was tested for effectiveness? Are details available showing what was tested?

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• 5 - Is there a documented procedure detailing how employees should raise the alarm in the event if a fire?

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• 6 - Has the practice test been completed with the local fire brigade? What was the date of the last trial? (Please record date). Is there a record of the learning points from this and any previous tests?

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• 7 - Is there a plan to continue practice tests with the fire brigade? Is there a documented plan with agreed dates?

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• 8 - Is there a documented communication plan detailing who, what, why, where, when and how? Has a second in command been nominated? And if so who is it( please record name and position of responsible person/s).

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• 9 - Is there a documented procedure for checking the condition of all electrical charging equipment ? If so are the data logs available for inspection? Are they up to date?

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• 10 - Is there a documented procedure for the checking of all Radios and the like? If so are records available for inspection? Are the records up to date?

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13 - VGL POL 04 Permits to work

• 1 - What was the most recent permit to work issued? Was it done correctly and are all the necessary details filled in?

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• 2 - Can employees, management and shop floor describe when a work permit is needed? Do they understand the maximum time a permit can be valid for ?

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• 3 - What is high and low risk you need a permit for?<br>High risk = Working at height, Hot work, Confined space working, Opening a Vessel, Working with / near asbestos, Working with electricity greater than 50v and ALL changes related to Isocianate & Chemical.

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14 - VGL POL 05

• 1 - Are details available of the last working at height activity?

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• 2 - Is there a current, up to date risk assessment for Working at height?

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• 3 - Is there an up to date procedure for the checking of ladders? Are ladders controlled correctly and are they tagged?<br>

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• 4 - Is there evidence of wooden ladders being used? If so who authorised their use?

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• 5 - Have all routine checks that require working at height got work instructions (SOPs), all those without detailed instructions require a permit to work. Have all routine tasks that require working at height been documented?

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• 6 - Are there sufficient numbers of harnesses available and is there enough scaffolding?

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• 7 - when was the last time somebody was allowed on the buildings roof? Was this covered correctly with a work permit?

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15 - VGL POL 06 Contractor Control Policy

• 1 - Has the site got adequate levels of insurance? Are details available for inspection? Are contractor insurance documents checked before they are allowed to work on site? Is there any evidence to support this?

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• 2 - Are details available of the number of contractors that were hired to work on site last year?

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• 3 - Are the contractors work permits available for inspection ?

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• 4 - Is the criteria used for selecting contractors documented and is there a scoring system available?

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• 5 - Who is responsible for the initial SHE briefing ? Are details available for inspection and is there a current up to date procedure for this ? What are the site rules for this?

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• 6 - Is there evidence available to show that contractors are signing to acknowledge they have had a site SHE briefing, is this information available fir inspection?

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16 - VGL POL 07 Management of Change

• 1 - Does the site have a MOC register ?

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• 2 - Can management and relevant employees explain the different levels of MOC and do they know who is involved in approving this?

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• 3 - In what cases have you used multi- disciplinary teams for MOC? Is this documented?

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• 4 - In what MOC levels do you need a multi-disciplinary team?

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17 - Identification and evaluation of major hazards - Internal Emergency Response Plan

18 - Site specific risk assessments for all chemicals stored and/or spilled on site.

• 1 - Is there a designated storage place for all P&I documents and are there instructions detailing what to do in the event of an emergency?

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• 2 - Do all management team members have their respective emergency documents in a designated place?

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• 3 - In the event of a spillage, does each chemical type have specific instructions detailing what to do ?

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• 4 - What equipment is available to deal with each type of chemical spill ? Is it sufficient ?

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• 5 - If two types of chemical are spilled at the same time are there details / instructions available specifying what to do and which is priority?

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• 6 - Is information available detailing how to separate chemicals that have mixed together after a spill?

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• 7 - Is there a timing plan available that is documented detailing the schedule of exercises with local authorities, neighbours, visitors and emergency response teams ?

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19 - What to do in the event of a fire.

• 1 - Dies the site have written internal procedures detailing what to do if there is a fire?

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• 2 - How often are fire drill practiced? Is there an instruction list documenting what should be practiced? What is the schedule for the next year?

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• 3 - When was the last time a practice was completed? Was there any learning points and if so are the available for inspection?

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• 4 - Is the fire alarm connected to the fire brigade / station? If so how is this done?

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• 5 - What is the procedure in the event of a power failure, how is the emergency services informed?

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• 6 - In the event of a false alarm who is responsible for informing the emergency services? Is there a written procedure for this?

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20 - Fire brigade

• 1 - Does the site have an internal fire brigade?

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• 2 - Do we have documented agreements and procedures with local fire brigades? Are they available fir inspection?

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• 3 - Does the site have trial runs/ practice events with the local emergency services? When was the last time it was done? Is there a schedule for future events and is the schedule available for inspection?

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• 4 - Are we aware of the local fire brigades available forces and time it takes to respond?

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21- Hazop preparation - showing the initial site design approval to pre- defined criteria.

• 1 - What is the latest HAZOP update?

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• 2 - Are there any open actions ? Have what if analysis been completed? Is the what if analysis available for inspection? (Please record the date of the latest update).

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22 - Risk profile to be agreed with local authorities.

• 1 - Did the risk profile take in to account - wind direction, relative environment and assembly points? Is this documented and available for inspection?

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• 2 - What is the action plan to deal with the local surroundings in the event of a major accident?

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• 3 - is there a documented communication plan for dealing with the local authorities & press?

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• 4 - Is it clear who is responsible for communication, who is site controller and who is second in command?

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23 - P R plan : Communication plan

• 1 - Are details available indicating how to act & what to say to the press? Is this documented?

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• 2 - Who is responsible on site for communication and who is second in command? Has this been communicated and do they fully understand their task?

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• 3 - Is it clear on who, how and when to communicate with Vita HQ

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• 4 - Are there instructions available that inform site personnel on what to do once local authorities take over? Has this been communicated effectively?

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• 5 - What is the external contact list & procedure when dealing with a major incident? Is this documented?

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24 - Maintenance

• 1 - Is there a list of critical equipment spares? Where is it stored and is it clear who is responsible for updating/managing it?

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• 2 - SIL (Safety Integrity Level) has the equipment that is deemed to be high risk causing been listed? Is there a documented / scheduled frequency of checks? Have these checks been documented as methods of inspection? And do engineers know what to do in the event if a failure?

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• 3 - Have critical component been identified and have they been given a maintenance program ? Is this program up to date?

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• 4 - Is there procedures for the inspection of sprinklers, indicators, alarms and sensors ? Is this up to date?

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• 5 - Is there an available procedure for the test, maintenance and inspection of fire doors?

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• 6 - Is there an available procedure for the test, maintenance and inspection of fire extinguishers? Is this up to date?

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• 7 - Are walkway inspected regularly to ensure they are free from obstructions? Is this documented, scheduled and up to dare?

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• 8 - Is there a documented procedure for the test, maintenance and inspection of lifting equipment? Is this up to date?

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25 - Preventative maintenance of isocyanate chemical pipe work streams & all related issues, how, tagging, recordings. Planing and frequencies.

• 1 - Pipework connectors

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• 2 - Coolers / heaters and generators.

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• 3 - Hoses

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• 4 - Tanks

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• 5 - Valves

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• 6 - Level sensors

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• 7 - Heat exchangers

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• 8 - Knives

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