DEVI MAHALAXMI COLLEGE

STUDY NOTES
FOR
ADVANCE DIPLOMA IN INDUSTRIAL SAFETY
(ADIS)
ON

QUALITY CONTROL IN
OCCUPATIONAL SAFETY, HEALTH
AND ENVIRONMENT (23113)

DR M B ASRE
DIRECTOR
MOB:-9320103004

DR RAJASHREE
PRINCIPAL MUMBAI

DR PIYUSH ASRE
PRINCIPAL NAGPUR

DEVI MAHALAXMI COLLEGE

Fire Engineering, Industrial Safety and Paramedical Courses

MUMBAI NAGPUR
Marathi Municipal School Mangalam,SBI Colony Opp
Building, Tank Road, Kalyani Girls Hotel Hingna Road
Bhandup (West), Mumbai-78 Nagpur - 440036
Mob: 9321121625,9322505346, Mob :- 9373114495,
Email:[email protected] Email:[email protected]
(Devi Mahalaxmi Paramedical College)

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 DEVI MAHALAXMI COLLEGE

Courses at Devi Mahalaxmi College

Sr Duration in
Course Name University /Board Eligibility
NO Year
Advance Diploma in Medical lab MSBTE, BSC or
1 1.5
Technology -ADMLT MUMBAI Equivalent
Advance Diploma in Industrial Safety - MSBTE, BSC / Engg. Dip/
2 1
ADIS MUMBAI Degree, FI,FR
Any graduate
MSBTE,
3 Post Diploma in Fire Engineering -FI 1 with 2 years of
MUMBAI
Experience
Advance Diploma in Fire Safety and MSBTE, BSC / Engg. Dip/
4 1
Industrial Environmental Engineering -FA MUMBAI Degree,
MSBTE, HSC Pass any
5 Diploma in Fire Service Engineering -FR 2
MUMBAI Field
6 Diploma in Lab Technology -DLT YCMOU 1 HSC Science
7 BSc Medical Lab Technology YCMOU 3 HSC Science
PG Diploma in Fire and Safety
8 YCMOU 1 Any graduate
management
Certificate in Fire Safety Engineering and Any who can
9 YCMOU 6M
Management read
Chaitannya SSC, HSC,
10 Diploma in Medical lab Technology 1
Vidhyapeeth Nursing, CMLT
Chaitannya SSC, HSC,
11 Diploma in X-ray ECG CT Scan 1
Vidhyapeeth Nursing, CMLT
Diploma in Fire and Safety Engineering 10th Passed or
12 YCMOU 1
and Management Preparatory
Tata Institute of
HSC Pass any
13 B.VOC in Medical Lab Technology Social Sciences 3
Field
Mumbai
Lingayaa HSC Pass any
14 B.VOC in Medical Lab Technology 3
Univerity Field
B.VOC Radiology & Medical Imaging Lingayaa HSC Pass any
15 University
3
Technology Field
Lingayaa HSC Pass any
16 B.VOC Opthalmic Technology University
3
Field
Lingayaa HSC Pass any
17 B.VOC Operation Theatre Technology University
3
Field
Lingayaa HSC Pass any
18 B.VOC in Medical Record Technology University
3
Field
Lingayaa HSC Pass any
19 B.VOC Dialysis Technology University
3
Field
Lingayaa HSC Pass any
20 B.VOC Cardiac Care Technology University
3
Field
Lingayaa HSC Pass any
21 B.VOC Hospital Steralization Technology University
3
Field
Lingayaa HSC Pass any
22 B.VOC Hospital Management University
3
Field
Chaitannya HSC Pass any
23 Diploma in Naturopathy 6M
Vidhyapeeth Field
Chaitannya BSC or
24 Post Graduate Diploma in lab Technology 1
Vidhyapeeth Equivalent
Chaitannya Doctor in any
25 Certificate Course in Child Health 1M
Vidhyapeeth Faculty
Certificate Course in Gynaecology and Chaitannya Doctor in any
26 1M
Obstetrics Vidhyapeeth Faculty

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 DEVI MAHALAXMI COLLEGE

INDEX
Chapter Contents Page No.

1.1 Safety Appraisal & Control Techniques. Plant Safety Rules

and Procedure, Safe Operating Systems, Safety Check List, Plant
Safety Inspection. Safety Sampling. Safety Surveys. Jobs Safety
Analysis. Safety Inventory system. Product Safety. Safety tag
system. Total Loss Control (TLC) 5
Permit to work System:- Types of work Permit , Hot work , cold
work , working at height , electric isolation , confined space , Entry ,
1
Excavation ,Working on fragile Roof , contents of work permit ,
process of execution and closure of work permit , Lockout and tag
out ( LOTO) system.
Accident and incident / near miss / dangerous occurrence
reporting, investigation:- Accident / incident reporting,
investigation, purpose and process, Accident report forms , Accident
reportable under various statutes like factories acts 1948 ,The 44
2 BOCW Acts 1996 , The ESI Acts 1948 etc, Agencies investigation
accident , Identifying the key factors and the immediate basic
causes, Accident investigation report ,Corrective action and
Preventive action ( CAPA)
Measurement and evaluation of safety Performance:-
Indian standard IS 3786 and its salient features, Definition of
terminology used- accident, incident, near miss accident, dangerous
occurrence, disabling ( lost time ) , injury , Non disabling injury ,
Reportable lost time injury , Non reportable lost time injury , days
of disablement ( lost time ) , partial disablement , temporary partial
disablement , permanent partial disablement ,Total disablement ,
temporary total disablement , Permanent total disablement, Man
3 hours worked / exposure hours , schedule charges of disabilities , 52
statistical periods , Restricted work case( RWC) , First aid cases
etc.
Safety performance Indicators:-Frequency rate (FR) , eighted
frequency rate, severity rate( SR) , incidence rate, frequency
Severity Index ( FSI) ,Safe- T- score , Cost factor, cost severity rate,
activity rate , Fatal accident frequency rate (FAFR) , Time charges
in the employee’s compensation acts 1923 , Leading and lagging
indicators.
Classification of industrial accidents and special cases

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according to IS 3786:Classification of accident as per IS 3786 -

1983 , Assessment of special cases , Inguinal hernia , back injury,
Aggravation of pro- existing condition ,Aggravation of Minor injury
,Cardiovascular diseases, miscellaneous , other disabilities .
3.4 Accident / incident analysis: Methods of collating and
tabulating Data, record keeping, accident/ incident Occupational
illness trend Analysis.

Hazard, Identification, Risk assessment and Control:- Hazard

Identification and Risk assessment (HIRA), Hierarchy of hazard
control, hazard analysis(HAZAN), Introduction to Concept of
maximum Credible accident analysis (MCAA) and Quantitative
risk assessment (QRA)
Hazard Identification Techniques:-
4 Reactive approach , incident recall techniques ( after the event 73
approach ) , proactive approaches, critical incident review
techniques ( before the event approach) , Deductive techniques,
inductive techniques , what-if , fishbone, , why- why, Root cause
accident ( RCA) , Fault Tree analysis ( FTA) ,Event Tree analysis
( ETA) ,Cause consequence analysis ( CCA) , Management
oversight and review techniques ( MORT), Failure mode and effect
analysis ( FMEA) , Job safety analysis (JSA)

Major accident hazard (MAH) Control System:- Major

accident control, definition of major accident hazards,
identification and assessment of MAH installations, Role of
Government, Management local authorities and public, ILO code of
practice of major Accident Control. 88
5
Emergency preparedness and response Plan:-
On side emergency response plan, off side emergency response
Plan, Mutual accident response group (MARG), Major accident
control system at local state, national and international levels
6.1 Occupational health and safety Audits:-
Occupational health and safety Audits IS 14489 -1998, Different
6 types of audits, internal and external audits and integrated 112
management system (IMS) ,IS 18001-2007/OHSAS 18001 -2007/
ISO 45001

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Chapter 1
Plant & Equipment:
Safety Sampling:
It is a systematic sampling of particular dangerous activities, processes or areas. Its a
method of measuring hazard or accident potential by random sampling and by counting safety
defects while touring specified location by a prescribed tour of @ 15 minutes at the weekly
intervals. The quantum of defects noticed is used to portray trends m safety situation. The point on
a safety sampling sheet includes items such as nonuse of personal protection, obstructed fire exits,
environmental factors, lighting, ventilation, temperature, faulty hand tools, guarding position etc.
The results are collected by the Safety Officer and presented in graph form to monitor the
effectiveness of the safety programmer.
Formula N = 4 (1-P)
V2 (P)
gives number of observations N,
When percentage of unsafe operations P and Value of accuracy V (normal value = 10%)
are known. For example, if during preliminary survey of 60 observations, 20 were found unsafe,
then
P = 20 = 0.33% and N = 4 (1-0.33) = 812.12
60 (0.10)2(0.33)
This means 812 sample observations would be required to ascertain various unsafe
practices with an accuracy of 10%. If 200 observations are possible in one tour, four tours (three
tours of 200 and last tour of 212 observations) will be required for satisfactory results.
This technique was first employed by American chemical plants and then by ICC’s
Dyestuffs Division in UK. It is based on Heinrich's ratio 1:29:300 opportunities must be observed
before one lost time accident. It is based on samples and not on detailed surveys.
It’s difference with safety tour is that the tour is an unscheduled examination of work area
by a team of safety personnel and may last for a longer period to assess safety standards, while
safety sampling is a short tour of @ 15 minutes, generally by one observer for the purpose of
random sampling of visible defects and to mark them on a sampling checklist.
Steps of the technique are:
1. List safety defects and hazards applicable to the area.
2. Define routes-at least two per section or department-which the observer can traverse within
15 minutes.
3. Train the observers for correct use of their respective routes and printed checklists.
4. Tell the workers the purpose of safety sampling.
5. Observers must meet at a convenient place once a. week or fortnight. One observer should
cover one route alone and mark his sheet.
6. Defects found should be corrected by supervisor or Department Head.
7. Results of Sampling Check List are added to summary sheets and plotted on a graph.
8. Comparing with the graphs of past period, deviation in the safety performance is noted and
safety measures are decided to improve the performance.
Advantages or Benefits of this technique are:
1. Management is provided with a week by week picture of accident potential.

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2. Defects are cleared at least once a week. Many defects are cleared on the spot.
3. Supervisors' eyes are sharpened by practice and begin to be more vigilant.
4. Supervisors and Managers are put on the spot when they fail to take action after the defects
have been pointed out to them.
Subjects of Safety Sampling Checklist are:
1. Protective Equipment-Non use or misuse of guards, fire extinguisher, first aid box, safety
notice, machine under repair etc.
2. Protective Clothing - Non use, misuse or defects of goggles, mask, gloves, helmets, safety
boots etc.
3. Housekeeping-Blocked passage way, stairways, slippery patches, chemical spillage,
blocked drains, tripping hazards etc.
4. Tools-Wrong or defective tools, using or towing tools unsafely, power tools, plugs, wiring
etc.
5. Unsafe Conditions-Leaking joints, valves etc., fans not working, -poor supports, unsafe
scaffolding, erection, lifting machines, pressure vessels, dress, design and construction,
improper illumination, ventilation, material position etc.
6. Unsafe Actions - Adjusting, cleaning or oiling machinery in motion, operating at unsafe
speed, making safety device inoperative, distracting/ teasing, taking unsafe position, wrong ladder
position, unsafe method, carrying heavy load, hand trucks unsafely loaded, persons riding on fork
lift, trolleys, machine part etc.
Plant Safety Rules and Procedure:
Safety Survey:
A safety survey is a detailed examination of a narrower or specific major key area
identified by safety inspection or audit, individual plant, procedure or particular problem common
to a works as a whole. It is followed by a formal report, action plan and subsequent monitoring. .It
is a general inspection of the particular dangerous activities, processes or area. Example: Paint
Booth in Paint shop, LPG Installation, Fuel Yards (Diesel/Petrol tanks)
Its difference with safety audit is evident. Safety audit covers all parts of a plant one by
one, while safety survey picks up only one or two most hazardous or important part of the plant
and carries out its inspection in depth. It is carried out by an expert team.
Job Safety Analysis (JSA) :
Purpose &Definition : Job safety Analysis is a procedure of analysing job for the purpose
of finding the hazards in each step and developing safety precautions to be adopted.
Though this technique tan be applied at any stage, it is most useful at the stage of planning,
design and starting the process.
It can be used to review job method and uncover hazards (a) that may have been
overlooked at the design or planning stage of plant layout, building, machinery, equipment, tool,
workstations, processes etc. (b) that were noticed subsequently (c) that were resulted from changes
in work procedure or personnel. It is the first step in hazard or accident analysis and safety
training. .
It determines details of each job in terms of duties, skills, abilities, qualification, safety
aspect, tools required, methods, sequence of operation and working condition. It is useful for
routine or repetitive job as well as maintenance and short orders.

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Advantages (Benefits)
 It suggests what personal characteristics such as age, sex, qualification, skill, experience,
abilities, physical standards etc. are necessary for selecting a right man for a right job.
 The job breakdown sheets are useful to train new workers in proper sequence of doing the
job safely and efficiently.
 The hazards are noticed before they cause any accident.
 It suggests preventive measures in advance to avoid accidents.
 It helps for planned and effective safety inspection and accident investigation.
 It suggests improved job methods, motions, positions, actions and work standards.
 Proper organisation of methods consistent with accepted safe and efficient practices.
 Preplanning, preparedness and propel performance can be started by executing properly
the requirements of the operation.
Procedure: Four basic steps of simple procedure
1. Select the job. (Line)
2. Breakdown the job into successive steps. (Stages)
3. Identify hazards and potential accidents in each step.
4. Develop safety measures to eliminate above hazards and consequential accidents. These
steps are briefly explained below :
Jobs with frequent accidents, selected first.
The job should be broken down in proper sequence and steps. Operation, description,
hazards (existing or potential) and precautions should be mentioned.
To identify hazards observe the operations as many times as necessary, ask the operator
concerned or others having good knowledge of that job and list the hazards in each step. Consider
all possibilities of accident, failure mode and effect etc.
The safely solution to the hazards noticed may be worked out by (a) finding a new method
to do the job (b) changing the physical conditions creating hazards (c) eliminating hazards still
present or changing the work procedure (d) reducing the need of doing that job or at least the
frequency of the job and (e) suggesting personal protective equipment if any.
Everything of above findings should be recorded on Job Breakdown Sheet (Job sheet or
Job instruction sheet) and it should be explained to operators and trainees to perform the job safely.
Who can do JSA: Supervisor is well suited for this: Safety officer is appointed he may
carry out the analysis jointly with the supervisor.
Example: The procedure of Job Safety Analysis is illustrated below.
In a factory rough castings of 15 Kg. are .fettled by hand on a pedestal grinder (dia 12"). The
castings are picked up from nearby store, fettled on the grinder and replaced on the floor on the
other side of the machine. Carry out job safety analysis and prepare the job breakdown sheet.

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Job Breakdown Sheet

Operation
Description Hazards Precautions / controls
Step
1. Check and adjust the Guard
1. Breakage of wheel
2. Adjust tool rest
1. Start the job. 2. Contact with wheel
3. Get wheel dressed if necessary
3. Flying particles
4. Use goggles/ shield
1. Use hand gloves
1. Sharp edges 2. Use Safety shoes
2. Pick up the job.
2. Unsafe gripping or lifting 3. Proper method of storing
4. Proper training in lifting.
1. Use goggles shield
1. Flying particles 2. Do not jam
2. Wheel breakage due to 3. Local exhaust for machine
3. Grind
jamming etc. and respirator
3. Dust-Silicosis, nuisance 4. Aprons
5. Gloves
1. Use hand gloves
1. Sharp edges
2. Use safety shoes
4. Replace the job. 2. Fall of casting
3. Proper method of storing
3. Strain and sprain
4. Proper training in lifting
Further details maybe written at the end of this sheet
Safety Inventory System :
This method proceeds to analyze quantity of hazardous material and to reduce it to the
minimum possible level, to find out its safe substitute if any, and to find out necessary control
measures to prevent or contain any accident due to it.
See MSIHC Rule of the Maharashtra Factories Rules wherein threshold quantities of
chemicals are stated in Schedule-2 and 3. In Sch-2 list if hazchems is given & Sch-3 threshold
limits, the unit is identified as MAH unit and specific safety rules are applicable. These rule;
include disclosure of safety information, notification of major accident, notification of industrial
activity, safety reports and on-site and off-site emergency plan. Thus inventory plays now statutory
role also.
Threshold Quantities are listed for –Check in MF Rules
1. Toxic chemicals
2. Highly reactive substances
3. Explosive substances
4. Flammable substances 15t to 50000t.
Steps suggested by the World Bank and IFC Guidelines to prevent major accident and to
limit their consequences are: Proper design, construction, inspection, maintenance and operation of
storage vessels and process plants, alarms, trips, dump-tanks, scrubbers, water curtains, emergency
procedures; information, training and protective equipment to workers, and on-site and off-site
emergency plans.It is also suggested that within certain radius of major hazard, no population
should be allowed ,

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Product Safety:
It is a legal responsibility of every manufacturer seller, agent or supplier of each product to
render it safe (non-injurious), otherwise if any harm is caused to a consumer, buyer, user by that
product, legal damages are payable over and above any statutory compensation, for accidental
injuries.
Section 7B of the Factories Act imposes duty upon every designer, manufacturer, importer
or supplier of any article and substance for use in an) factory, to make that product safe and
without risk; to the health of the workers, to carry out necessary test for this purpose and to supply
safety information regarding safe use of that product The product should conform to the Indian and
Foreign (higher) standards.
Negligence or Breach of Warranty should be proved to establish product liability.
The manufacturer is obliged to (1) exercise care in planning, designing and producing his
product, reasonably safe for all users and (2) provide adequate warning and precautions with the
product for the safe use.
Breach of warranty may be expressed (written) or implied (oral). Advertising and sales
literature also amount to warrantees to the ultimate consumer and any remote consumer can
recover damages for breach of these warrantees. Product liability cases involve heavy direct and
indirect costs.
In USA, National Commission on Product Safety estimate that more than 20 million are
injured and 30,000 deaths per year due to products. This lead to the enactment of Consumer
Product Safety Act there. The Consumer Protection Act has also been enacted in our country and
Consumers' Councils and Courts work at many places where complaints regarding 'product' can be
launched.
Product safety programme should include clear policy, duties and responsibilities of
personnel in design, manufacturing, quality control, marketing and servicing. The committee
should include Chief Engineer, Sales Manager, Service Manager and representatives from other
departments. The committee shall carry out various functions such as review of design, change
required, safety warning signs and warnings, review of accidents and claims and education of
engineers and operators.
Total Loss Control (TLC)
The Concept clarified: The concept of Accident Prevention when applied to prevent human
injuries only, it is called Injury Prevention or Control. When it is applied to control property
(machinery, materials and manufactured goods) damage (losses) only, it is called Damage Control.
When it is applied to control human injuries and property damage (losses) both, and also extended
to include injuries and property damage to society or surrounding, it is called Total Loss Control
(TLC), Total Accident Control (TAC) or Total Injury Control (TIC). When this concept of total
loss control is applied or achieved by means of engineering controls, it is known as Total Loss
Prevention (TLP).
The terms damage control, loss control, loss prevention and risk management are defined in
Chapter-2 with other terms to realise the total concept of safety.
The concept of Total Loss Control is also defined as follows :
It is an evolution from injury prevention to .the control of all business losses by the
application of sound management principles.

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 DEVI MAHALAXMI COLLEGE

It is a system of reporting and controlling all incidents, however small, whether the
associated loss is small or large. All incidents are examined, potential losses estimated and
recommendations are made and acted upon to avoid repetitions.
It is a programme to eliminate unnecessary costs by means of identification of down
grading situations, measurement of the loss potential, selection of methods to control the situation
and finally implementation of the methods within the industrial enterprise. A down grading
incident could be defined as any deviation in accepted performance levels resulting in injury,
occupational sickness or disease, property damage, fire or explosion, breaches of security,
pollution or product liability and business interruption.
Development of the Concept : Historically, the concept evolved from H. W. Heinrich's
ratio in 1931 that for one serious injury there may be 29 minor injuries and 300 no-injury accidents
(Ratio 1-29-300). Frank E Bird, after intensive research in 1966, gave this ratio as 1-100-500, John
A. Fletcher, after a world-wide survey in 1969, gave this ratio as 1-19-175.
Though this ratio differs because of different study conditions, it proves two important
conclusions: (1) No injury accidents are far greater than the serious or major injury and (2) It is
necessary to control or prevent large number of no - injury and minor injury accidents for
controlling or preventing a major or disabling accident.
Thus increasing hazards to persons and property because of the industrial revolution in
western countries has developed this TLC concept and now, many books are available on this
subject.
Relevance of Total Loss Control to India : This concept of TLC has great relevance to
India as every loss reduced or eliminated would help to conserve our limited resources and control
prices.
Some Annual Indices of avoidable losses in India are estimated below:
 Accidental deaths in industries and elsewhere 1,40,000.
 Non-fatal injuries in factories, 5,00,000.
 Workmen Compensation being paid Rs. 500 lakhs.
 ESIC benefits being paid Rs. 20000 lakhs.
 Loss due to deficiencies in packing, transportation and storage of commodities like food,
cement fertilizers etc. Rs. 5000 crores.
 Losses due to fire Rs. 2000 Crores.
These figures reveal great opportunity to prevent as many losses as possible by our collective
efforts.
The Fundamentals of Loss Control: Some fundamental principles are given below :
 Accidents, unsafe conditions and unsafe actions are symptoms of something wrong in the
management system.
 Certain sets of circumstances can be predicted to produce sever injuries, which can be
identified and controlled.
 Safety should be managed like any other company function. Management must direct
the safety efforts by setting achievable goals by planning, organising, and controlling to
achieve them.
 The key to effective line safety performance is management procedures that fix
responsibility and accountability.

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 DEVI MAHALAXMI COLLEGE

 The function of safety is to locate and define the operational errors that cause the accidents.
The functions of safety -can be carried out in two ways:
 By asking wily i.e. searching for root causes and
 By asking whether or not certain known effective controls are being utilized.
Management for Loss Control: Risks Department, Risk Manager and Departmental Heads
should, first, formulate Total Loss Control Policy for the company. Loss Prevention Committee
should be formed to execute the policy. Responsibility should be fixed. By special attention to
employees selection, placement, training and participation and adopting safety in design, safety
audits and checklists, the goals should be achieved.
Four Steps procedure is necessary:
1. Identification of hazards.
2. Evaluation of hazards and their detailed analysis.
3. Planning and implementing measures to reduce hazards and
4. Frequent review.
Application of this procedure brings following benefits :
(a) Minimizing damage to men, machines materials (raw and finished) and methods.
(b) Saving on insurance or better insurance cover at lower cost.
Control measures monitored by the Loss Control Department are:
1. Rules and Regulations.
2. Traffic Laws.
3. Standard Procedure Instructions.
4. Safety Inspection Rounds
5. Measurement of safety performance by various ratings (Indices).
6. Occupational safety and health standards/ rules.
7. Investigation of Losses and
8. Summary Analysis.
Thus by adopting Total Loss Control we can render the workplace fully safe and efficient.
Safety Tag System:
IS: 8095 provides specification for accident prevention tags. The tags are used as a
temporary means of warning employees of an existing hazard or to warn them not to start any
switch or operation, because some other person may be injured due to that. For example, while
working in any movable or rotational machine, tag on isolated switch is necessary. To prevent
wrong operation of any switch, valve, control etc., tagging is essential during repair. It is more
useful for new or untrained workers. They should not be used in place of or as substitute for
accident prevention signs. The tag shall be removed as soon as die hazard is removed or
eliminated. 'Do Not Start' tag on power machine should be provided till the repairing is over and
then it should be removed. Defective equipment tag shall be placed till die defect exists only.
Accident prevention signs are of permanent nature, while the tags are temporary. For safety signs
and colours see IS:9457.
The tag should be in the language understood by the workers.
Type of tags arc: Do not start tags. Danger tags. Radiation tags. Biological Hazard tags etc.
Colours for some tags are prescribed but not the size which should be suitable.

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Standard (Safe) Operating Procedures (SOP)

Hazardous works or frequently required jobs need standard and safe operating procedures.
If they are well defined and described beforehand and available in the form of ready made
document, they are most useful to plant people for easy use. Such procedures are useful in
avoiding and reducing accidents
Meaning and usefulness:
A Standard Operating Procedure (SOP) is a set of written instructions describing steps of
safe working method and standard engineering practice for hazardous job or frequently required
industrial activity.
It describes technical as well as administrative operating instructions from the
management. It is designed by duly qualified and well experienced technical persons in the plant.
It should be amended and updated based on experience of its use. SOP standardizes work
procedure and avoids variations among different workers. It establishes uniformity and safety in
working methods. It ensures that the same work is done in the same way by all workers safely and
efficiently.
SOP should be written correctly. Steps should be chronological. If not written correctly, it
is of limited value. The best written SOP may fail if not followed. Copies of SOP should be ready
available in work areas so that they can be readily used. SOPs are useful to prevent shortcuts,
wrong habits and unsafe practices.
Format for SOP:
SOP should be written in a well-designed format. It should be easy to understand. It should
clarify its purpose, method of use, tools, equipment and PPE necessary, work permit to be used if
any etc. Steps and sub steps should be well arranged. SOP should have title, Sr. orId. No., Date of
preparation. Date and number of revision, steps and procedure, action by whom and remarks.
Some example of SOP are as under:
1. Nitrogen purging in a reactor.
2. Loading and unloading of tanker of hazardous substance.
3. Safe starting or closing down of a plant.
4. Catalyst loading into a reactor.
5. Flue or toxic gas sampling procedure.
SOP should get approval from the top management including safety department. It should
be reviewed and revised. Checklist can be used to prepare SOP.
Safety Checklists:
Process or system checklists are used to identify common hazards and ensure compliance
with standard procedures. A checklist is a convenient means of communicating minimum
acceptable levels and hazard evaluation. It can be as detailed as necessary to satisfy the specific
situation. Checklists should be regularly audited and updated. They provide results quickly.
Checklists are complementary to the inspection technique and makes the. Inspection more
perfect, speedy and systematic. There are so many checklists designed in various ways and
differing from plant to plant and person to person based on their knowledge and experience.
Industry, plant, process, equipment, tools and machine wise checklists and those for good
housekeeping occupy volumes. Therefore some sample points are given below and other checklists
(for textile, chemical, housekeeping etc.) are given in respective chapters.

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A broad checklist for plant inspection:

 Environmental Factors: Parts most likely to develop unsafe or unhealthy condition because of
stress, wear, impact, vibration, heat, corrosion, reaction, misuse or neglect etc.
 Machinery : Pinch points, catch points, shear points, squeeze points, run-in points, operation
points etc. Power transmission viz. shafts, belts, gears, pulleys, electric power, unsafe starting or
stopping mechanism and machine guarding.
 Tools : Wrong tool for the job, tool in unsafe condition or placed in unsafe position, hazardous or
defective hand tools and machine tools.
 Work Area : Flooring-uneven, obstructed, slippery, cramped quarters, exposure to traffic,
insecure. piles .or overhead material, poor illumination, glare, temperature -too hot, too cold,
exposure to gases, dusts, fumes, vapours etc., hazards from nearby operations; flying or falling
objects, electrical, chemical, radiation and trip-fall hazards, work space, aisle, platforms, stairs,
railings, spillage, exits, doors, roofs, roadways, yards etc.
 Material Handling : Nature of material or objects heavy, unwieldy, rough, sharp, hot, corrosive,
explosive, toxic etc., unsafe handling of equipment-lifts, hoists, chain pulley blocks, containers,
conveyors, trucks, cranes, derricks, transport vehicles, elevators, chains, cables, slings and
handling methods.
 Equipment : Pressure vessels, revolving and vibrating equipment, pumps and motors, tanks,
scrubbers, flares, effluent treatment plants, safety devices, maintenance tools, personal protective
equipment, fire fighting equipment, production and related equipment, electrical equipment, power
or energy equipment, store equipment etc.
 Unsafe Work Practices : Operating without authority, operation at unsafe speed, guards removed
or made ineffective, use of defective tools or using unsafely, handling materials unsafely, standing
or working under suspended load ,open hatches, shafts or scaffolds, walking on rail road tracks,
driving vehicles wrongly etc., repairing or adjusting equipment in motion, under pressure,
electrically charged or containing dangerous substances, distraction of attention, failure to use or
using wrong personal protective and fire fighting equipment, poor housekeeping and failure to
remedy unsanitary or unhealthy conditions.
 Specific Points : Special check points depending upon specialty of the plant, process, material etc.
and points not classified elsewhere should be included here. Special checklists for the points of
plant layout, machine guarding, housekeeping, lighting, ventilation, fire, material handling and
various processes viz. engineering, textile, chemical etc. are given in the relevant chapters.
PLANT SAFETY INSPECTION
Plant safety inspection is an old and effective method of appraising plant safety. Its
techniques are explained below:
Definitions and Objectives:
As defined by BS 3811-1964 inspection is the process of ensuring by assessment that a
facility reaches the necessary standard of quality or performance and that the level is maintained.
Safety inspection is defined as 'that monitoring function conducted in an organisation to
locate and report existing and potential hazards which have the capacity to cause accidents in the
workplace.

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 DEVI MAHALAXMI COLLEGE

Safety and health inspection ensures that working conditions/environment and actions
(methods) conform to legal or safety requirement and combine efforts of employers, employees,
safety experts and inspectors to create a safe working environment.
Objectives of Inspection are :
 To find out hazards, accident causes (unsafe conditions and actions) losses and appropriate
remedial measures for their prevention and control.
 To maintain safe work environment, operational profitability and control unsafe actions of
people.
 To check statutory provisions of the Factories Act and similar other safety statutes.
 To check the effectiveness of the existing systems and to find improvement if required for
the purpose of Total Loss Control.
 To check quality control, product safety. Good Manufacturing Practice (GMP), wear and
tear, corrosion, tests and also personnel selection.
 To gain workers' confidence in organised human activity and factory life.
Types and Procedures:
Inspections can be classified in many ways as explained below:
1. Planned Inspection : These are of 4 types :
 Periodic Inspection : Plant, machinery, equipment, lifting machines, pressure vessels,
apparatus, procedures, methods and health of the workers should be examined at regular
pre-planned period. Statutory forms, checklists, tables and period of inspections, if any,
must be strictly followed. Nonstatutory periodicity may be decided according to the need.
The whole area should be covered and plant people should be informed in advance for
necessary arrangement. It should be deliberate, thorough, detailed and systematic. Safety
committee, safety officer, competent person, safety consultant, industrial hygienist, doctors
and other safety and health personnel should carry out such inspections.
 Intermittent Inspection : It is carried out at irregular intervals to check new equipment
installations, procedures and workers; modifications, accident analysis etc. Some partial
inspections are also carried out at uncertain intervals.
 General Inspection : It is general or routine' inspection to check places which are not
covered by .other inspections. Isolated areas, parking places, side - walks, fencing, light -
illumination, reporting after long shutdown etc. are checked by such general or overhead
inspections.
 Special Inspection : Safety or hazard analysis, accident investigation, checking of
dangerous operation or vessel, building safety, subjects of complaint only, inspection
during special campaigns and new installations, and only for storages, processes, methods,
hand-tools, scaffolds, guards, facilities, protective equipment etc., fall within this category.
2. Continuous (ongoing) Inspection: Some personnel like safety officer, maintenance men,
electricians etc. spend their all time in observing certain equipment, vessels, processes,
operations, safety devices, personal protective equipment etc., to maintain them in safe and
efficient working condition. Thus continuous watch and familiarity with employees, equipment,
machines and environment are maintained as part of informal and co-operative responsibility.
3. Statutory Inspection : This is carried out by Factory Inspectors and other authorities under
various safety statutes (See Chapters 27 & 28) to check the implementation of statutory

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 DEVI MAHALAXMI COLLEGE

provisions. Strict and timely compliance is necessary. Breach of law may attract prosecutions. For
most of the factories where there is no system of internal inspection, statutory (government)
inspection is the only effective inspection and therefore it should be carried out in detail and the
governments must employ sufficient staff to achieve better safety inspections. Non-technical
workload on Inspectors should be minimised. Inspectors' powers and duties are statutorily
prescribed.
Planning and Procedures:
The persons making inspections should be familiar with (1) the know-how and sound
knowledge of plant, relevant standards, codes, rules etc. (2) the systematic inspection steps or
checklists (3) the method of using data, evaluating and report writing. They should behave like
friends, philosophers & guides. They should explain what, why and how. They should know the
reasons of past accidents, working unsafely, the safe alternative or remedial measures and they
should convince the people for better practice.
Basic Steps of inspection are : (1) To contact the department head for his help (2) To
observe all conditions for compliance with established standards (checklists preferable) (3) To
observe all operations for unsafe acts or violations of safety rules and (4) To prepare a systematic
report with all hazards detected and corresponding remedial measures. The report should include
good suggestions of plant people and the recommendations may be discussed with the persons
concerned. The report should be sent to the concerned people for compliance and follow-up
actions should be continued till full compliance is achieved and reported to the management.
Work permit
A work permit is the permission to take a job within a foreign country. It may also be a permit
given to minors allowing them to work legally under child labor laws. Within an industry, a work
permit may be required to execute certain functions within a factory outside normal operational
tasks (such as maintenance tasks) - in some places they might be called Permit to Work (PTW).
Certain safeguards that normally protect the worker may have to be removed when repair or
maintenance work is performed. When this occurs, the hazards involved need to be identified and a
safe work system developed to eliminate or control these hazards A safe work permit is document
that identifies the work to be done, the hazard(s) involved, and the precautions to be taken. It
ensures that all hazards and precautions have been considered before work begins. Safe work
permits should always be used when work is performed by an outside agency or employer. What is
a safe work permit? A safe work permit is a written record that authorizes specific work, at a
specific work location, for a specific time period. Permits are used for controlling and co-ordinating
work to establish and maintain safe working conditions. They ensure that all foreseeable hazards
have been considered and that the appropriate precautions are defined and carried out in the correct
sequence. The permit is an agreement between the issuer and the receiver that documents the
conditions, preparations, precautions, and limitations that need to be clearly understood before work
begins.
Why use a work permit?
All work exposes the worker to some degree of hazard. This degree of hazard determines the type
of safeguards required to protect the worker. Most routine work has defined safe work practices or
procedures. In the absence of such procedures, safe work permits should be used. Workers engaged
in maintenance work may be at risk if the machinery they are working on is started unexpectedly.
Such machinery and equipment needs to be isolated by blanking, blinding, or a power lockout

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 DEVI MAHALAXMI COLLEGE

system. These procedures can be clearly identified by a work permit system. Certain types or
conditions of work, such as confined space entry, flammable or explosive situations, exposure to
harmful substances or high voltage electrical equipment, and the transfer of hazardous work from
one work shift to the next are examples of where safe work practices or the use of work permits is
essential. Alberta’s Occupational Health and Safety (OHS) Act and OHS Regulation require
employers to provide workers with a safe place of work and to identify known safety hazards. This
can be partly achieved through the use of a safe work permit system. Verbal instructions can be
misinterpreted or forgotten, whereas a great deal of control is achieved through the use of safe work
practices or safe work permits.
WHAT IS A HOT WORK PERMIT?
PURPOSE
The Hot Work Permit system is intended to assure that the individuals involved in construction,
renovation, repairs and maintenance of University facilities are aware of the hazards associated with
hot work and welding and that they implement control measures to help mitigate them. The Hot
Work Permit is the means by which the departments of Facilities Management, Facilities Planning
and Construction, and the department of Environmental Health & Safety & Risk Management
Services will be able to keep track of construction activities that involve hot work, and that these
activities are being conducted safely. The hot work permit also provides a step-by-step check list
for hot work fire safety and serves as a reminder to contractors of their fire prevention
responsibilities before, during, and after any hot work is conducted.
SCOPE
All operations in buildings/facilities owned or maintained by the University, which are occupied
during a significant renovation, repair or maintenance activity. (Occupied is defined as “the
presence of one or more persons”)
DEFINITION Hot Work is defined as cutting, welding, soldering and brazing operations for
construction/demolition /maintenance/repair activities that involve the use of portable gas or arc
welding equipment. The use of these types of equipment for cutting and welding can introduce
significant fire hazards into University buildings.
GUIDELINES
How Does the Hot Work Permit System Work? Before a contractor or FIU Maintenance employee
can perform Hot Work in an occupied building at FIU, they will be required to obtain a valid Hot
Work Permit. In order to obtain a Hot Work Permit, contractors must coordinate with their project
manager to meet with the Fire Prevention Officer at the Department of Environmental Health &
Safety & Risk Management Services, CSC 162. University employees may contact the Department
of Environmental Health & Safety directly in order to complete an application. The Fire Prevention
Officer will issue the permit to the contractor or supervisor of the maintenance department. The
permit will be valid for a specified time period. The contractor or employee may then perform the
hot work, following the precautions UNIVERSITY SAFETY COMPLIANCE GUIDE USCG
DOCUMENT # 705 LAST UPDATED10/31/03 PAGE 2 OF 3 outlined on the permit. After the
Hot Work is completed, the contractor turns the permit over to their FIU Construction Project
Manager and Facilities Management returns their expired permit to the Department of
Environmental Health & Safety.

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When is a Hot Work Permit Necessary?

Hot Work Permits are needed for all cutting, welding, soldering and brazing activities, in occupied
buildings, that are conducted with portable gas or arc equipment on Florida International University
construction, maintenance, repair or renovation projects.
Where is a Hot Work Permit Necessary?
Hot Work Permits are needed for each building where Hot Work will be performed (utility tunnels
are considered to be separate buildings). For example, if one contractor is performing work at
several different buildings for one project, a permit is necessary for each building. Who Needs Hot
Work Permits? Hot Work Permits are needed for each and every contractor or sub-contractor/trades
or University building maintenance employee performing Hot Work in an occupied building. For
example, if there are three different sub-contractors/trades performing Hot Work on one project,
each sub-contractor/trade is responsible for obtaining a permit for their own work. Who Issues The
Hot Work Permit? The FIU Fire Prevention Officer (FPO), at the Department of Environmental
Health & Safety & Risk Management Services issues
Hot Work Permits:
1. Contractors must coordinate appointments through their construction project managers.
2. University building maintenance employees may schedule appointments at any time they
need to consult with the FPO. (One month special permits may also be issued in the first week
of each month, at the discretion of the FPO.)
How Long Is A Hot Work Permit Valid?
The duration of a Hot Work Permit depends upon the type of project (new or existing construction)
and the type of the Hot Work to be performed. The FPO will use the following guidelines to
determine the time limit for each permit issued.
Should The Hot Work Permit Be Posted? Hot Work Permits do not need to be posted at the job site
but should be accessible and available upon request by the FPO or any authorized representative of
the University.
Who Checks To See If the Hot Work Requirements Are Met? The contractor or sub-
contractor/trade performing Hot Work is ultimately responsible for conducting their Hot Work
activities in a sound, fire-safe manner and following the precautions outlined on the Hot Work
permit. However the FPO or the designated FIU Construction Project Manager may periodically
check the work and job site to verify that the contractor is carrying out the requirements of the Hot
Work permit. FIU maintenance supervisors are responsible to verify that work is being carried out
as prescribed on the permit.
After the Hot Work Complete...
Then What? Once a Hot Work permit has been filled or when the Hot Work has been completed,
the contractor shall return the completed Hot Work permit to the FIU Construction Project Manager
for the project; FIU supervisors for building maintenances shall return their permit at the time of
renewal of their new permit for the upcoming 28 day period. Click here to print copy: Hot Work
Permit/Welding Permit Application For more information regarding this guide, contact the
Department of Environmental Health and Safety at 2621.
Cold Work Permit
This permit is required for carrying out any activity of maintenance/ cleaning / testing inside plant that
non critical nature and does not produce sufficient heat to ignite a flammable or a flammable substance.
The format for “Cold Work Permit” is enclosed.

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Cold Work Permit

 A cold work permit is required for work which could include the following:
 Equipment removal from service, replacement and installation (e.g. valve removal to change
seals, filter / water separator element replacement);
 Mechanical adjustments (e.g. adjusting pump seals);
 Civil works (e.g. replacing grout, cleaning drains); and
 Painting.
 A cold work permit shall be issued together with other permits as required by the scope of
works.
Working at height
It remains one of the biggest causes of fatalities and major injuries. Common cases include falls
from ladders and through fragile surfaces. ‘Work at height’ means work in any place where, if
there were no precautions in place, a person could fall a distance liable to cause personal injury
(for example a fall through a fragile roof).
This section shows how employers can take simple, practical measures to reduce the risk of any of
their workers falling while working at height.
What do I have to do?
You must make sure work is properly planned, supervised and carried out by competent people
with the skills, knowledge and experience to do the job. You must use the right type of equipment
for working at height.
Take a sensible approach when considering precautions. Low-risk, relatively straightforward tasks
will require less effort when it comes to planning and there may be some low-risk situations where
common sense tells you no particular precautions are necessary.
Control measures
First assess the risks. Factors to weigh up include the height of the task, the duration and
frequency, and the condition of the surface being worked on.
Before working at height work through these simple steps:
 avoid work at height where it's reasonably practicable to do so
 where work at height cannot be easily avoided, prevent falls using either an existing place of
work that is already safe or the right type of equipment
 minimise the distance and consequences of a fall, by using the right type of equipment where
the risk cannot be eliminated
For each step, always consider measures that protect everyone at risk (collective protection) before
measures that only protect the individual (personal protection).
Collective protection is equipment that does not require the person working at height to act for it to
be effective. Examples are permanent or temporary guardrails, scissor lifts and tower scaffolds.
Personal protection is equipment that requires the individual to act for it to be effective. An
example is putting on a safety harness correctly and connecting it, with an energy-absorbing
lanyard, to a suitable anchor point.
Dos and don’ts of working at height
Do….
 as much work as possible from the ground
 ensure workers can get safely to and from where they work at height

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 ensure equipment is suitable, stable and strong enough for the job, maintained and checked
regularly
 take precautions when working on or near fragile surfaces
 provide protection from falling objects
 consider emergency evacuation and rescue procedures
Don’t…
 overload ladders – consider the equipment or materials workers are carrying before working at
height. Check the pictogram or label on the ladder for information
 overreach on ladders or stepladders
 rest a ladder against weak upper surfaces, eg glazing or plastic gutters
 use ladders or stepladders for strenuous or heavy tasks, only use them for light work of short
duration (a maximum of 30 minutes at a time)
 let anyone who is not competent (who doesn’t have the skills, knowledge and experience to do
the job) work at height.

ELECTRIC ISOLATION
PURPOSE
This Procedure describes requirements to ensure safety at work of personnel and equipment and to
provide details of methods and principles for safe Electrical Isolation of electrical equipment.
SCOPE
This Specification applies to all electrical powered equipment’s and substations and other premises
belonging to or occupied by POGC, Contractors or Subcontractors authorized to work on behalf of
RESPONSIBILITIES
Operations Field Supervisor The Operations Assistant is responsible for ensuring that isolations
are carried out by authorised responsible persons and in accordance with this procedure.
Head of Process /Head of Utility / Shift Superintendents Head of Process /Head of Utility / Shift
Superintendents are responsible for:
 Ensuring that all procedures and safeguards are fully implemented.
 Facilitating preparatory works in connection with work permits.
 Ensuring that equipment is operational after maintenance works are completed Authorised
Electrical Persons are responsible for:
 Performing electrical isolations as requested on Electrical Isolation Permits / Certificates
and within the limits of their authorisation.
 Demonstrating to Operators and Working Party that concerned equipment will not / cannot
start under any conditions or circumstances.
 Reinstating switching equipment to normal on completion of works.
 Participating in test runs with Operators and Working Party before cancellation of Permit to
Work.
 General Requests to electrically isolate equipment, or a package, is made by the Working
Party when first raising the Permit to Work by completion of the Complementary Electrical
Isolation Permit(s). In the particular case of generators, a Process / Mechanical Isolation
Certificate must also be raised. All equipment subject to electrical isolation must be
padlocked by using a safety padlock. The safety padlock number must be mentioned on the
Isolation Certificate. If there are several Permits to Work rose for the same item of

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equipment to be electrically isolated, there must be different number of Isolation

Certificates and safety padlocks applied.One PTW is not valid for different trades. PTW to
be raised for different trade and task.
 Electrical: Work on HV transformer or HV-LV transformer need one PTW and one
Electrical Isolation complementary (by ticking HV-LV box). Mechanical: Electrical
isolation certificate of Electrical PTW cannot cover mechanical work
Electrical Isolation Principles Electrical Isolation is a preparatory operation to allow a Permit to
Work to be issued and to ensure that general safety precautions are observed when carrying out the
isolations. General safety precautions are:
Correct Personal Protective Equipment (PPE) must be worn.
Work together with Shift Authority.
 Make sure that any equipment to be isolated is switched off.
 Check scope of work on equipment to be isolated: if equipment removal is contemplated, cables
must be disconnected at concerned equipment and cable ends taped to prevent damage to
connections or moisture ingress.
 Apply safety padlocks where necessary to ensure proper isolation.
 Log safety padlock numbers and document numbers in the sub-station Log Book provided for
this purpose.
 Apply Isolation tag on which the complementary and main permit numbers registered.
 As safety padlocks have a unique key, they must be stored in the substation key-box to avoid
risk of loss.
 Provide, wherever necessary, a multi hasp device to allow for fitting of several padlocks.
 Demonstrate to Shift Authority and to Working Party that equipment will not / cannot start
under any conditions or circumstances.
Confined Space Permit Program
Purpose
The University is required to have a Permit Confined Space Program that meets the Occupational
Safety and Health Administration (OSHA) requirements. This program consists of procedures to
prevent injuries to workers who must work near, or enter, confined spaces that contain serious or
life threatening hazards.
Scope
Spaces that are ‘physically confining’ or ‘enclosed’ must be identified and evaluated by
departments to determine if the space is regulated under OSHA’s standard for permit confined
spaces. For OSHA Permit Required Confined Spaces, requirements include supervisory and
employee responsibilities, training procedures, management of change, periodic reviews, and
coordination of information with other parties needing access to the space.
Policy and Regulation
University of Iowa Operations Manual, Part III Human Resources, Division II Standards and
Ethics, Chapter 16.4d Policy on Ethics and Responsibilities for University of Iowa Staff.
Roles and Responsibilities
EHS is responsible for:
 Establishing University expectations to meet regulatory requirements.

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 Developing training related to confined spaces.

 Conducting a yearly audit of each department’s program.
 Providing technical assistance to departments when requested.
Confined Space Evaluations
Each department with confined spaces shall have at least one employee trained as a
confined space evaluator. The form in Appendix B must be used to evaluate spaces. The
information Appendixes C, H, and I can help during the evaluation. The evaluation will determine
if the space is a confined space and, if a confined space, what hazards are present in the space.
Evaluations must be completed for every space even if University employees will be prohibited
from entering the space. Once the evaluation has been completed it shall be maintained on file for
the life of the space. The evaluations shall be maintained on the confined space SharePoint site, see
Appendix D.
Spaces that are entered shall be re-evaluated at least every 5 years. This is to ensure the assessment
is still accurate and takes into account any changes to OSHA or University requirements.
All new spaces that are possibly confined spaces must be evaluated within 6 months of installation
or before entry, whichever is first.
Confined Space Inventory
Once the evaluation has been completed the space needs to be added to the confined space
inventory. All confined spaces, both permit and non-permit, are required to have a confined space
ID when entered into the inventory. If a space is evaluated and is classified as not a confined
space it should be entered into the inventory but a space ID is not needed.
The confined space ID can be one of two numbering systems. This can be the current system of
using a 2 letter code for the department or area and sequential numbers or using an asset number
already assigned to the piece of equipment. For both systems the number must be unique to the
space.
The confined space inventory shall be maintained on the Campus Confined Space Inventory
SharePoint site. Instructions on accessing and using the site are found in appendix D.
Entry Permit
To lower the risk associated with confined spaces, the department must use a Confined
Space Entry Permit (Appendix E) to document the hazards of the space and the means of ensuring
employee safety. Appendix H provides guidance on the whether a hazard is being controlled or
eliminated and therefore if a reclassifying entry (C-7) or alternate entry (C-5) is allowed.
The Confined Space Evaluation Form for the space must be reviewed when completing the
entry permit. The evaluation form will provide information on the potential hazards, the control or
elimination measures available, and entry requirements for the space.
The Confined Space Entry Permit is to be used on all entries into spaces classified as permit
required. This includes reclassifying entry, alternate entry, and full permit entry. The entry permit
is not required for non-permit required confined spaces.
Each Confined Space Entry Permit is good for one shift. A new permit will need to be
completed at the start of each shift. Each permit will need to be maintained for one year. A list is
available on the SharePoint site for maintaining the entry permits for one year.
Appendix F has the general entry procedures for permit required confined spaces. These
procedures are general and will need to be adapted by departments to meet their needs.
Rescue Services
For full permit entries performed on the main campus rescue services will be provided by
the Iowa City Fire Department and at the Research Park (Oakdale) by the Coralville Fire

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department. Rescue services are not available at other areas at this time so full permit entry buy
University employees is not allowed.
Duty to Other Employers
When contractor employees will enter a permit required confined space under the control
of the department, management shall provide the contractor with all available information on that
space. It is the contractor’s responsibility to meet OSHA requirements to manage the space and
entry for their employees. The contractor is to inform the department of any changes noted about
the space.
Training
All employees and supervisors that must enter permit required confined spaces shall
receive training and instruction so they have the understanding, knowledge, and skills to allow
them to safely enter these spaces. All employees and supervisors involved in confined space
programs with permit required confined spaces and do not enter them shall receive training and
instruction so they have an understanding and knowledge of confined spaces to prevent entry into
confined spaces.
University employees will take the general training through ICON. Site specific training
must also be completed. The required training course titles and numbers for each job duty can be
found in Appendix F.
EHS will develop and maintain the general training located on ICON. The training will
cover the OSHA requirements in 29 CFR 1910.146 and the University’s forms and procedures.
Each department must provide site specific training that covers the specific hazards in the
departments’ spaces, warning signs and symptoms for potential chemical exposures, location of
appropriate safety equipment, how to use the safety equipment, and any other information that
would be unique to the department. Training records are maintained through the University’s
Employee Self Service site.
Excavation Procedures
Purpose The purpose of these procedures is to ensure that excavations are conducted in a safe
manner and in compliance with applicable regulations. They cover planning, performing, and
closing out excavations in which contact with soil is expected – such as trenching, drilling, and
removing soil – that meet any of these conditions at any time:
1. Depth is one foot or more
2. Power tools will be used
3. Utilities are identified
4. Any hazardous condition is likely to be encountered
The following operations are exempt:
 Sampling soil, concrete, and asphalt from bins, hoppers, or stockpiles using hand tools
 Replacing existing sign posts in and around SLAC roads, parking areas, and pathways, provided
sleeves are used.
These procedures apply to workers, supervisors, competent persons, utility locators,
subcontractors, project and field construction managers (PMs and FCMs), the facilities engineer,
the Infrastructure and Safety Directorate associate laboratory director (ALD), and the program
manager; and the Field Services (FS), Radiation Protection (RP), and Environmental Protection
(EP) departments.
Procedures
Procedures for planning an excavation, conducting excavation operations, and closing the project
out follow. 2.1 External Permits Specific requirements apply for certain types of excavations:

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 A San Mateo County Environmental Health Services Division subsurface drilling permit is
required under any of these conditions: – Soil borings are anticipated to encounter groundwater
– Soil borings extend deeper than 10 feet.
 Groundwater monitoring wells, including geotechnical wells, will be installed or destroyed
(installation or destruction must be in accordance with California Well Standards as established
by the California Department of Water Resources)
 Planning
 The planning phase of the permit process includes defining the project scope, a review by
multiple
 departments of the Environment, Safety, Health, and Quality Division, documenting utility
location results, and obtaining approval for the excavation to proceed.
 Note Allow 10 working days for required reviews to be completed. If soil testing is
required, allow up to two weeks of additional time from the sampling date.

STEP PERSON ACTION

Ensures permit is current If permitted work is not initiated within three

months of original submission, the permit must be resubmitted to
1 PM/FCM
confirm the in-field survey is still accurate.

Ensures the WPC work folder contains all required documents

(excavation permit with hazard analysis, work planning documents,
2 PM/FCM
and any additional required permits) before work begins

Ensures work practices are (and remain) in place to meet permit

conditions and excavation requirements, including those in Excavation
Safety: Physical Requirements, such as
 De-energizing/de-pressurizing and locking and tagging all utilities in
the area before digging begins unless an exception is approved by the
Infrastructure and Safety Directorate associate laboratory director or
3 PM/FCM designee
 Only hand digging within an exclusion zone (comprised of the width
of the utility plus 18 inches in all directions) around a known utility.
Use of heavy machinery is not allowed.
 Ensuring adequate shoring, access/egress, and fall protection are in
place
 Ensuring sediment/erosion control
Meets at least daily with workers and supervisors to discuss the job
safety analysis (JSA) for that day and is present at the excavation site
as necessary to ensure the work is being performed safely Ensures JSA
4 PM/FCM
and pre-work/tailgate briefings cover hazards and controls Verifies that
competent person is present when required (see Step 6)

Conducts work according to permit conditions and excavation

Supervisor and requirements (including Excavation Safety: Physical Requirements)
5
worker

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Must be present during

 Active operations in which employees workers are expected to
descend
 Placement of support systems and/or access/egress components such
as ramps, ladders, or stairs
Competent person  Activities where powered or heavy machinery is to be used
6
 Activities that present a significant hazard to personnel or equipment
At least one person meeting the requirements for an excavation
competent person must be present during active operations. If work is
being conducted in the trench by more than one subcontractor, each
must have its own competent person when worker exposure can
reasonably be anticipated.
Conducts inspections, takes steps to mitigate identified problems (such
as removing workers until the excavation area is stabilized), and
maintains record of inspections using the Excavation Safety: Daily
Inspection Checklist or equivalent that demonstrates the adequacy of
the inspection. Inspections are required
 Daily
 Before start of work and as needed throughout the shift (as
determined by the competent person and/or PM/FCM )
7 Competent person
 Whenever worker presence can reasonably be anticipated (check
excavation(s), adjacent areas, and protective systems for signs of
potential edge or wall collapse, cave-in, indication of protective system
failure, hazardous atmospheres, or other hazardous conditions)
 After every rain event, exposure to vibrations or heavy loads, or
other hazard increasing occurrences (to identify any changes that may
affect safety) Inspection documentation must be available for review
while the excavation is open.
8 PM/FCM Documents activities at the job site in daily log
Invokes stop work requirements for such conditions as:
 Encountering an unknown/unidentified subsurface utility: the exact
nature and condition of the utility must be determined before work can
PM/FCM and/or commence
9
competent person  Observation of discolored soil, an odor, or oily sheen: contacts
excavation safety program manager before work commences to ensure
that the permit can be updated for proper waste disposition
Notifies excavation safety program manager of any scope changes (for
10 PM/FCM example if any unexpected conditions are encountered or excavation
size or extent increases)
If scope changes, determines, in consultation with all permit reviewers
Excavation safety
as needed, if the permit should be revised and re-approved (Section F
11 program manager
of permit)
or designee
Excavation safety Visits excavation site as part of routine construction safety oversight;
program manager / checks for presence of a competent person and compliance with
12
Safety Services requirements. If problems are noted, meets with PM/FCM and/or
staff competent person to resolve.
13 Waste Management Coordinates disposition of excavated material with PM/FCM according

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 DEVI MAHALAXMI COLLEGE

to recommendations from EP and RP

Recordkeeping:
 The following recordkeeping requirements apply:
 The excavation permit (with attached survey results form), daily inspection checklist, and
mobile / portable drilling rig initial inspection (if applicable) must be kept at the work site
during excavation operations with the WPC work package.
 The PM/FCM must maintain a daily log of operations.
 The excavation safety program manager maintains the record copies of all closed permits.
 The facilities engineer updates and maintains as-builts.
WORKING ON ROOFS
Preventing falls from roofs is a priority for WorkSafe New Zealand. They expect principals,
employers, and contractors with staff working on roofs to actively manage any potential for falls.
Investigations by WorkSafe into falls while working at height show:
 more than 50 percent of falls are from less than three metres
 most of these falls are from ladders and roofs
 the cost of these falls is estimated to be $24 million a year – to say nothing of the human
cost as a result of these falls.
More injuries happen on residential building sites than any other workplace in the construction
sector, and of falls experienced by roofers:
20 percent were over three metres in height.
40 percent were from permanent structures such as roofs.
In December 2011, WorkSafe initiated a targeted programme to address the issue through the
Preventing Falls from Height Project. These guidelines support this project and give all who are
involved with working on roofs a clear direction on how to manage the work in a way that will
bring down the death and injury toll.
SCOPE AND APPLICATION
These guidelines also outline how people working on roofs, and those associated with the
work, can meet their obligations under the Health and Safety in Employment Act 1992 (HSE Act)
and the HSE Regulations 1995. These guidelines and adherence to them may be relevant as
evidence in a court.
These guidelines apply to a wide range of work situations where workers are placed in a
position from which falls are possible. These situations include repairs and maintenance work on
roofs. The guidelines outline what WorkSafe and the roofing industry currently consider best
practice for working safely on roofs.
Workers who need to access roofs and to whom these guidelines will apply include:
 Roofers
 Builders
 Plumbers
 Heating and ventilation installers
 Air conditioning installers
 Painters
 Installers of telecommunications equipment

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 DEVI MAHALAXMI COLLEGE

 Demolition contractors
 Home or property owners or inspectors
 Chimney sweeps.
The Good Practice Guidelines for Working on Roofs provides practical guidance to those who
have duties under the HSE Act and Regulations. The Good Practice Guidelines for Working on
Roofs is not industry-specific and gives general advice for working on roofs. If those working on
roofs are from a specific industry (for example, electrical industry), the safety guidance from that
industry should also be consulted. These guidelines are not intended to provide all information
relating to safe working on roofs. Detailed information on safety equipment used for working at
height is covered in the Good Practice Guidelines for Working at Height in New Zealand and other
Work Safe NZ guidance on working at height.
Interpretation
‘Should’ and ‘may’ indicate that the recommendation be adopted where practicable to comply
with the requirement to ‘take all practicable steps’ as required by the HSE Act and Regulations.
‘Shall’ or ‘must’ is used in places where there are legal obligations required by the HSE Act,
Regulations, or where a practice is considered the minimum threshold for safety standards.
Legislative framework
The HSE Act is the over-arching legislation for health and safety in the workplace and
compliance with the Act is mandatory.
It sets out the requirements of duty holders for health and safety. People with a duty must take all
practicable steps to ensure the safety of workers when they are exposed to the potential of a fall, or
where the hazard of working at height exists.
The Act is underpinned by a number of regulations. A full copy of the Act and the associated
regulations can be downloaded without charge at www.legislation.govt.nz. Compliance with the Act’s
associated Regulations is also mandatory.
Regulation 21 of the HSE Regulations 1995 is the source of the often-quoted ‘three metre rule’. It is
mistakenly believed that no controls are needed where a person faces a fall of less than three metres.
That belief is wrong and ignores the overarching duties in the Act.
The Act requires that if there is a potential for a person at work to fall from any height, reasonable and
practicable steps must be taken to prevent harm from resulting.
Short duration work at height shall be treated the same way as any other activity at height.
Appropriate fall prevention controls shall be put in place, regardless of the time duration of the task.
Short duration work means work that lasts minutes rather than hours. It may not be reasonably
practicable to provide full edge protection for short duration work but it still needs to be considered
during the assessment of hazards, and appropriate controls must be put in place.
Identify hazards through planning
Planning a safe approach to a job can help identify the hazards associated with any work on a roof.
Planning safe work takes into account the hazard management process:
 Identify the hazards
 Assess the hazards - decide if the identified hazards are significant. How badly harmed would someone be if
they fell and how likely is a fall? If serious harm could result, then it’s a significant hazard
 Control the hazards – either by eliminating, isolating or minimising the hazard
 Document this information in a work plan

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 DEVI MAHALAXMI COLLEGE

 Monitor the work plan.

All workers should understand the contents of the work plan, and be competent to safely complete the
work.
 Assess and control the hazards
A hazard assessment shall be carried out for all work on roofs. It is essential that the hazards are
identified before the work starts and that the necessary equipment, appropriate precautions, and
systems of work are provided and implemented.
Hazard identification should be repeated periodically or when there is a change in conditions; for
example, the weather or numbers of staff onsite.
Where workers could fall from a roof, there is a very simple hierarchy of controls that shall be
considered by duty holders:
 Can the job can be done without exposing persons to the hazard (eliminate)? This can often be done at
the design, construction planning, and tendering stages.
 If the potential of a fall cannot be eliminated when working on a roof, some form of edge protection
should be used to isolate workers from a fall. This includes working on single-storey buildings and
structures. An example is using the existing scaffolding as edge protection. If this is not practicable,
then elevating work platforms or temporary work platforms should be used.
 If neither elimination nor isolation are practicable, then steps should be taken to minimise the
likelihood of any harm resulting. This means considering the use of total restraint systems, work
positioning systems, safety mesh, safety nets, and fall arrest systems.
Your work plan should include information about:
 Safe access to the roof area
 Assessment of the roofing materials
 Identify hazards associated with working at height from or through the roof
 Brittle roofing assessment
 Other working at height hazards (for example, weather, electricity)
 Establishing equipment and hazard controls for working at height
 Safe working practice
 Training and supervision.
The work plan should clearly set out:
 Who is responsible for implementing the control measures and supervising the work
 What specific steps are required to carry out the work safely
 How these steps are to be done.
The person responsible for the work plan should be a competent person, who should also act as site
supervisor. Enough time should be allowed to complete the staging of operations given the number of staff
available, the availability of equipment, and an allowance for unsuitable weather.
Written safety information and the work plan shall be kept for the duration of the job. It is the responsibility of
the lead contractor or principal to inform all workers on site that they must adhere to the requirements of the
work plan and safety information and the before any person seeks or gains access to the roof.
The lead contractor or principal must provide a prominent notice stating the safety requirements and any
limitations for the site.
Discussion about the plan, hazards, and control measures can be undertaken at ‘toolbox talks’ or meetings with
staff and contractors. These meetings can also be used to train workers on the hazards associated with working
on roofs including falling from an edge or through brittle roofing material.

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 DEVI MAHALAXMI COLLEGE

Safe access to roof areas

 Where there is no permanent access to roof areas, provide temporary access that is properly
constructed.
 Scaffolding, constructed work platforms or mobile elevating work platforms (MEWPs) are
the preferred means of temporary access.
 Where this is not practicable, portable industrial-grade ladders with a load rating of at least
120 kg secured against movement, pitched at about 75 degrees (4:1) and extending at least
one metre above the stepping-off point are a suitable means of temporary access.
 For major roofing work, provide a scaffold stairway access tower. Never allow workers to
use barrow hoists to gain access to the roof.
Assessment of the roofing material
 Roofing material deteriorates with age and does not perform as it did when it was installed.
Before commencing work on an existing roof, inspect it thoroughly to determine its
strength. This should, when possible, include inspection from inside the building as well as
externally.
 Check the fixing and strength of safety mesh, paying particular attention to any signs of
heavy corrosion.
 If there is sarking or an underlay, this will inhibit the close inspection of the sheeting.
 Excessive sagging or deflection (out of alignment) of the trusses/rafters may indicate
deterioration of the structure. Strengthen any suspect areas of roof support with temporary
props.
 If there has been a fire, the structure must be certified as safe to work on by a structural
engineer.
 Skylights and penetrations left for the installation of air-conditioning can be a danger to
roof workers. Fibreglass or plastic sheeting skylights should be checked and added to the
interior plan of the roof so that hazard controls can be put in place to prevent the potential
of a fall.
 Even skylights with safety mesh can create a hazard as the worker can still break through
and while not fall to the ground, could still receive cuts from jagged edges.
 Brittle roofing consists of any flat, trough, or corrugated material such as asbestos cement,
plastic, or glass, whether reinforced or otherwise, or any other roofing material that, due to
its properties, age, or weathering, will not safely support a person at all points on its
surface.
 No access to brittle roofing is permitted until adequate hazard controls have been
implemented. New roofing may also be composed of brittle roofing material (for example,
translucent skylights). An internal inspection should be carried out by a competent person
to identify the position of skylights and other areas where a worker could fall through the
roof.
 Where a roof has been assessed as brittle, signage should be put in place warning of the
potential of falling through the roof and the requirement to use crawling boards.
Roof work checklist example

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 DEVI MAHALAXMI COLLEGE

Options if best practice is not

Factor Best practice
practicable
Provide a scaffold stairway access Portable industrial-grade ladders
Safe access to roof tower. minimum 120 kg load rating
areas  secured against movement
 No permanent Provide properly constructed  pitched at about 75 degrees (4:1)
access temporary access. extending 900 mm above the stepping-
off point
Roof inspection
 Potential for Inspect to determine its strength, Strengthen any suspect areas of roof
falling including the fixing and strength of support with temporary props or
 Corrosion safety mesh. similar.

Static line systems, including travel

restraint systems and fall-arrest
systems.
Falls from roof edges Install compliant edge protection.
Use barriers to restrict access – min
one metre and at least 2.0 m from the
hazard.
Use barriers or total restraint to
Protect workers falling Use safety mesh before the roof is
separate roof workers from areas not
from incomplete roofs laid.
yet meshed.
Securely cover skylights and
penetrations or isolate with temporary
edge protection.
Falls through skylights Use safety mesh before the roof is
Use barriers to restrict access – min
and penetrations laid.
one metre and at least 2.0 m from
hazard.

Isolate areas under roof edges unless

Protect from the Isolate areas below roof work
toe boards are fixed to temporary edge
dangers of falling where people may be struck by
protection to contain all material,
material falling material, debris, or tools.
debris, and loose tools.
Consider Roof workers to wear non-slip and
 Condition of the roof surface flexible grip protective footwear.
 Moisture conditions Commercial roofing – steel toe capped
Weather related
 Wind speed soft shoes.
hazards
 UV exposure UV radiation and sun glare – wear sun
 Roofing material being block, hats, and sunglasses.
installed

Contents of work permit

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 DEVI MAHALAXMI COLLEGE

This Technical Measure Document refers to permit to work systems required to control work such
as maintenance activities on chemical plant and so prevent a major accident.
Maintenance Procedures
 Inspection / Non-Destructive Testing (NDT)
 The relevant Level 2 Criteria are 5.2.4.1(91) and 5.2.4.2(95).
 General principles
 The following aspects should be considered with respect to Permit to Work Systems:
Human factors;
 Management of the work permit systems;
 Poorly skilled work force;
 Unconscious and conscious incompetence;
 Objectives of the work permit system;
 Types of work permits required; and
 Contents of the work permits.
The following issues may contribute towards a major accident or hazard:
 Failing of the site safety management system;
 Failure to recognise a hazard before and during maintenance;
 Failure to comply with the work permit system in hazardous environments; and
 Communication failure during the use of a work permit system.
Contributory factors for an assessor to consider concerning the Work Permit System
The Safety Report should address the following points:
 Whether staff have been sufficiently informed, instructed, trained and supervised to minimise a
potential human failing during operation of the work permit system;
 Whether the work permit system includes sufficient safety information, maintenance
instructions, correct PPE and equipment for use;
 Whether the work permit contains sufficient information about the type of work required
(Equipment removal, excavation, hot/cold work, repairing seals, vessel entry, waste disposal,
isolation);
 Whether there is sufficient provision available to fulfil the requirements of the work permit
system;
 Whether the employees responsible for control of the maintenance work are identified within the
work permit system and that the work is properly authorised by a responsible person;
 Whether the work permit system is managed, regularly inspected and reviewed;
 Whether all work permits are kept on file;
 Human factors (stress, fatigue, shift work, attitude);
 Whether sufficient precautions are taken prior to initiating a work permit (isolation, draining,
flushing, environmental monitoring, risk assessments, communication, time allotted for the
work);
 Whether staff are aware of the type of environment they are working in during the operation of a
work permit (flammable, corrosive, explosive, zones 0, 1 & 2, electricity supplies);
 Whether the person responsible for operating the plant is aware of the type of maintenance
involved and how long it is likely to take; and

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 DEVI MAHALAXMI COLLEGE

 Whether the work permit system involves a formal procedure whereby the maintained plant or
equipment is handed back to operation.
Major hazards
 Wrong type of work permit used;
 Wrong information about work required on the work permit;
 Failure to recognise the hazards where work is carried out (e.g. flammable substances);
 Introduction of ignition source in controlled flameproof area (e.g. welding, non spark-proof
tools, non-intrinsically safe equipment used in intrinsically safe zones);
 Terms of work permit not adhered to (e.g. failure to isolate plant and/or drain lines of
hazardous substances);
 Failure to hand-over plant in safe condition on completion of work/cancelling of work
permit;
 Unauthorised staff performing work permit functions;
 Poor management of the work permit system; and
 Insufficient monitoring of the work permit system.
Guidance relating to permit to Work Systems
The following HSE publications can be used as guidance material relating to safety issues
surrounding permit to work systems:
 HS(G)5 Hot work : welding and cutting on plant containing flammable materials, HSE (Not in
current HSE list).
 Paragraph 3 refers to the precautionary measures needed when welding in areas that could be
potentially flammable by planning and controlling the task using a work permit system.
 Paragraph 72 refers to the importance of management controlling the work permit system.
 Paragraph 73 refers to the principles that should be followed when operating a work permit
system.
 HS(G)48 Reducing error and influencing behaviour, HSE, 1989.
 Paragraph 27 refers to conscious incompetence whereby an employee consciously refused to
follow the work permit system to help an operator. A breathing line was not assessed and an
operator inhaled nitrogen instead of air. Had the work permit system been managed properly
then the event would not have occurred.
 HS(G)51 Storage of flammable liquids in containers, HSE, 1998.
 Paragraph 48 illustrates a permit to work system and summarises its expected contents.
 HS(G)64 Assessment of fire hazards from solid materials and the precautions required for
their safe storage and use, HSE, 1991.
 Paragraph 28 refers to the need for a work permit system if a source of ignition is introduced
such as welding, cutting or grinding. The system should contain any fire precautions
necessary.
 HS(G)65 Successful health & safety management, HSE, 1997.
 The section called; `Devising Risk Control Systems RCSs' under Inset 11, illustrates the
permit to work system as an example of a management control loop i.e. plan, do, check and
act. It demonstrates how risks in the work place can be reduced if they are controlled and
managed.

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 DEVI MAHALAXMI COLLEGE

 HS(G)77 COSHH and peripatetic workers, HSE, 1992

 Paragraph 19 refers to the inclusion of a work permit system in a COSHH assessment. It
highlights the importance of safeguarding against risk when carrying out work on a chemical
plant.
Formats: A format can be designed according to the work but it should cover above mentioned eight points.
More care is required when the permit is to be given to a contractor's workers. Necessary equipment must
be supplied to them. Some formats are given in :
General Format: Safety Work Permit
Permit to work Name & Address of the Factory : Permit No.

Date :

Date & Time of Issue

Date & Time of Extension if any

Date & Time of Validity

Date & Time of Work Completion

and Return of the Permit

A. Issue

1. Location of work

2. Work to be done

3. Hazards involved

4. Precautions / conditions necessary

5. Equipment to be used

6. Procedure to be followed

7. Special instructions

8. Prior work done and certified.

Necessary isolation, cleaning, purging and testing/ monitoring is done and reported below with
results :

Name & Designation Signature Validity Ratification

of the Area-in-charge Date Date by the Safety

Time Time Department

B. Acceptance

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 DEVI MAHALAXMI COLLEGE

I have read and understood this permit and will carry out the work as per directions stated above.

Name & Designation Signature Validity Ratification

of the Area-in-charge Date Date by the Safety

Time Time Department

C. Acceptance

I have re-examined the situation above and hereby extend this permit to expire at

Date Time

Further instructions if any :

Signature Date Time

D. Completion and Cancellation

I certify that the work is completed and the plant can be put to its normal operation.

Signature Date Time

(By the person who accepted the permit)

I accept the above plant back into service. The permit is cancelled hereby. A new permit will be required if
work is to be done again.

Signature Date Time

(By the person who accepted the permit)

N.B. : Detailed instructions shall be written in this document. Where possible. Part A shall be- ratified by
the Safety Department.

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 DEVI MAHALAXMI COLLEGE

Table 19.2: General Format : Safety Work Permit

Permit to Work

Permit No.

Date:

Procedure used shall be in accordance with safety instructions

(Give consideration to each word. Strike out those not applicable)

Name & Address of the Factory:

Plant Section/Equipment Valid Until Date Time : Hrs.

PART - A; Preparation

A-l Following Hazards are possible.




Gas/Fume  Electricity Mains/Static Electricity/Shock

 Corrosive, Hot & other Liquid  Moving Machinery

 Gas or liquid under Pressure  Overhead Hazards, Cranes etc.

 Toxic Materials  Underground Service

 Dust  Traffic (Road & Rail)

 Fire & Explosion  Radio active substances

 Hot Metal  Noise

 Trace Heating  Work at

 Steam Condensate  Height

 Falling Objects  Other (Specify)

Physical Isolation

 Physical isolation is required/not required

The Equipment isolation permit No.

Method of Isolation

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 DEVI MAHALAXMI COLLEGE

 Single/Double isolation, valve closed/blind/tagged (no.

 Lines slip plated

 Physical disconnection : open and blanked off

 Vent. Drain or blow off open

Precautions already taken :

 A-4 Hotwork Permit:

A hotwork permit is not necessary.

A hotwork permit is necessary, permit issued no.

Vessel Entry Permit :

 A vessel entry permit is not necessary

A vessel entry permit is necessary, permit issued no.

Installed Radioactive Source:

 There is no installed radioactive source

 There is an installed radioactive .source and is made safe

I have made the installation sate for the duration of tills Permit By

Signature of Qualified person

Electrical Isolation:

 Electrical isolation is not required

Electrical isolation is required and has been made by following methods and tagged (Tag No.)

 Fuse withdrawn

 Drive Unit Disconnected / Denergised

 Racked out

 Locked out Name Signed

Other (e.g. Instrument, Cathodic Protection)

Isolation not required

Isolation required and has been done (Tag. No. )

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 DEVI MAHALAXMI COLLEGE

by (Name) Signed

Preparation Completed:

Name:

Designation:

Signature :

PART - B: Operation

B- 1 Job to be done:

Precautions to be taken.




Wear PVC suit  Keep rescuer available

 Use self breathing apparatus  Wear Goggles

 Wear PVC, Rubber, Leather, Asbestos etc.  Use only safety torch/hand lamp
gloves
 Use Gas Mask for (gas)
 Use air line respirator
 Use only 24 Volts inspection lamp
 Wear Ear Muff/Plugs
 Use Dust mask
 Wear a safety belt with life line
 Use ELCB
 Wear Helmet

 Keep fire extinguisher ready

 Wear Full face shield

36
 Removal of Equipment

 Removal of equipment from the site is not required

 Removal of die equipment from the site is required

 The equipment is cleaned

 The equipment is not clean. Take following precautions

B- 4 Special instruction

PART - C : Issue, Acceptance & Return

C-l Issue and Acceptance

Name Signature Date and Time

Issued by

I have read the conditions of this permit

Accepted by

C-2 Extension of Validity (Please sec on the back)

C-3 Text/Rotation check required

Signature of person making request

Electricity restored by Sign.

Test run Completed/Rotation check correct Sign

Electricity isolated by Sign.

Completion of job

This job is completed :The job site is cleaned and material removed.

Returned by Name & Sign Time and Date

In case of hot work permit/vessel entry permit.

The Hot work permit No. is cancelled

36
The Vessel entry permit No. is cancelled

Countersigning person have been informed

Sign. Name

Cancellation

This permit is cancelled. Please restore electricity. Remove or restore radioactive source/others
Name Sign Date & Time

Installed radioactive sources

I have recommissioned the installation

Signature of qualified person

Electricity Restored

 Fuse replaced  Racked in

 Drive unit reconnected  Lock removed

Signature

Name

Other isolation (Specify)

Restored by

Sign Name

Details of job done

(back page) Instructions (See Part C2)

37
1. The Permit to Work does not ensure that the job is safe but it tells you the exact state of the job,
precautions already taken, precautions to be taken by the permittee and residual hazards associated with the
job Therefore the issuing authority must give consideration to each point/word and strikeout which is not
applicable or marked D in the appropriate box. The permittee must read the contents of the permit carefully
and follow the instructions and precautions to be taken.

2. In case of any emergency in the plant, the job shall be stopped and the permit shall be treated as
cancelled. The work can be restarted after the emergency is over but the permit to work shall be endorsed
by the issuing authority before starting the work.

Extension of Validity

C-2 The job is not yet completed. Therefore this permit requires extension of validity.

Extension of validity Time & Date up to Reasons The permit is extended i.e. revalidated UPTO
requested by which the Validity is for :
requested requesting
Extension

Name Signature Time Date Time Date Name Signature

Table 19.3 : Hot Work Permit

Name & Address of the Factory HOT WORK PERMIT Permit No. :

Date :

A. Job Details :

Requested by Dept./Plant Section

Validity Date Time : From Hrs. To Hrs.

Location Details

38
 Description of Work :

B. Precautions : Tick () in the relevant boxes where applicable and score out the others.

Already taken by operators To be taken by Maintenance

 Equipment has been properly – Tick () in the  Sparks can ignite the material in the surrounding
box areas. Effects protect process sewers / material /
equipment in the vicinity from a potential fire
(a) depressurized  (b) Drained  (c) Washed  hazard. Keep the area wet.
(d) Vented  (e) Purged  (f) Steamed  Properly ground the equipment and use insulated
welding cable.
(g) gas freed  (h) isolated  (i) blinded 
 Keep escape route clear.

 Keep fire extinguisher ready.

 Surrounding area checked and protected against
hazards of spark / fire.  Keep fire hose connected with nozzle for use
(not charged)
 Sewer openings covered /protected.
 Use only fir proof gloves /suits.
 Frequent explosimeter monitoring required during
continuation of job.  Make provision to contain the sparks by
shielding the job location from all sides using fire
 Keep fire station informed.
blankets.
 Standby man available for rescue.

 (others)

C. Initial Explosimeter Test : (Indicate the exact locations where the tests are carried out)

Sr. Location Explosimeter Date Time Name Signature

No. (LEL) reading

39
D. Authorisation :

Shri of Dept. : Section is hereby given

permission to carry out the above work. This permit expires at hrs. on unless extended, [see
(E) below]. Signature of issuing authority Date : Time : Hr.
Approved by : Signature Date : Time : Hr.
Signature of accepting authority Date : Time : Hr.

E. Extention of Validity (To be renewed after every shift, maximum validity 24 hrs.)

(I) Condition at the site checked and found OK. The Explosimeter reading %LEL
Time : hr.

The validity of the above permit extended up to : hr. on (date).

Signature (Shift-In-Charge) Time : : hr. Date :
Approved by: Signature:

(II) Condition at the site checked and found OK. The Explosimeter reading %LEL

Time : hr.

The validity of the above permit extended up to : hr. on (date).

Signature (Shift-In-Charge) Time : hr. Date :
Approved by: Signature:

F. Work Completion (By the Maintenance Group) :

The work is completed. Area cleaned up. The permit returned to the issuing authority at

hr, Date Name: Signature :

G. Job Acceptance : (By Issuing Dept.) - The job has been completed and the work area has been
restored in its original condition. Hence, the permit is hereby cancelled.

Name : Signature Time : hr. Date :

The format of the permit to work should be designed by the safety officer, safety consultant or an
experienced engineer of the company. Well thought precautions and safety measures can certainly minimise
the accidents.
Vessel Entry Permit : Under section 36 (2) of the Factories Act 1948, no person in any factory shall be
required or allowed to enter any confined space (chamber, tank, vat, pit, pipe, flue etc. having dangerous
fumes likely to involve risk) until all practicable measures have been taken to remove any fumes which may
be present and to prevent any ingress of fumes and unless a certificate in writing has been given by a
competent person based on a test carried out by himself that the space is free from dangerous fumes and fit

40
for persons to enter or such person is wearing suitable breathing apparatus and a safety belt securely
attached to a rope (life line) die free end of which is held by a person outside the confined space.

Isolation of the vessel from sources of energy or harmful substance by way of cooling, disconnection,
blinding, blanking etc., draining, cleaning, washing and purging to make free from toxic gases, testing the
air for oxygen or toxicity content, opening top and bottom connections for good ventilation, lighting and
exit, wearing safety belts, helmet and suitable breathing equipment, allowing low voltage (24 volts) light,
standby arrangement etc. are essential requirements.
Lockout-tagout:
Lockout-tagout: Lockout-tagout (LOTO) or lock and tag is a safety procedure which is
used in industry and research settings to ensure that dangerous machines are properly shut off and
not able to be started up again prior to the completion of maintenance or servicing work. It requires
that hazardous energy sources be "isolated and rendered inoperative" before work is started on the
equipment in question. The isolated power sources are then locked and a tag is placed on the lock
identifying the worker who has placed it. The worker then holds the key for the lock ensuring that
only he or she can start the machine. This prevents accidental startup of a machine while it is in a
hazardous state or while a worker is in direct contact with it. Lockout-tagout is used across
industries as a safe method of working on hazardous equipment and is mandated by law in some
countries.
Procedure:
Tags left in place in a powerplant after it was shut down, decommissioned, and abandoned
Machinery can contain many hazards to workers, some of the common hazards are:
 Electricity
 Hydraulic pressure accumulated in a pump or line
 Pneumatic compressed air
 Radiation including intense visible or Thermal as well as ionising or particle beams
 Extremely hot or cold surfaces
 Gases, including poisonous, suffocating, explosive...
 A combination of heat and gas in the form of Steam
 Gravity (falls from height, falling parts, or mechanisms that work with or against it)
 Kinetic spring tension
 Other moving parts - fans, belts, gears, sawblades, presses, etc.
 Many types of liquids (chemical, water, etc.)
Basic Steps of a Lockout/Tag out Process
 Step 1: Identify energy sources and shut off energy to the affected equipment. (Use normal
stopping or running procedures for the machine.)
 Step 2: Notify others – in particular all affected employees.
 Step 3: Shutdown the equipment, using normal stopping procedures for the machine.
 Step 4: Isolate the equipment from the energy source.
 Step 5: Lockout/tagout the equipment by affixing locks and tags to each energy source
controlling device.
 Step 6: Release any stored energy from capacitor banks, springs, compressed air, steam,
hydraulics, etc.
 Step 7: Verify isolation of energy has occurred by trying equipment.
41
  Step 8: Perform servicing.
 Step 9: Release the equipment from lockout/tagout.
Disconnecting or making safe the equipment involves the removal of all energy sources and is
known as isolation. The steps necessary to isolate equipment are often documented in an isolation
procedure or a lockout tagout procedure. The isolation procedure generally includes the following
tasks
Announce shut off
1. Identify the energy source(s)
2. Isolate the energy source(s)
3. Lock and Tag the energy source(s)
4. Prove that the equipment isolation is effective
The locking and tagging of the isolation point lets others know not to de-isolate the device. To
emphasize the last step above in addition to the others, the entire process can be referred to as lock,
tag, and try (that is, trying to turn on the isolated equipment to confirm it has been de-energized
and cannot operate)
 The National Electric Code states that a safety/service disconnect must be installed within
sight of serviceable equipment. The safety disconnect ensures the equipment can be isolated
and there is less chance of someone turning the power back on if they can see the work going
on. These safety disconnects usually have multiple places for locks so more than one person
can work on equipment safely.
 In industrial processes it can be difficult to establish where the appropriate danger sources
might be. For example, a food processing plant may have input and output tanks and high
temperature cleaning systems connected, but not in the same room or area of the factory. It
would not be unusual to have to visit several areas of the factory in order to effectively isolate
a device for service (e.g., device itself for power, upstream material feeders, downstream
feeders and control room).
 Safety equipment manufacturers provide a range of isolation devices specifically designed to
fit various switches, valves and effectors. For example, most circuit-breakers have a provision
to have a small padlock attached to prevent their activation. For other devices such as ball or
gate valves, plastic pieces which either fit against the pipe and prevent movement, or clam-
shell style objects, which completely surround the valve and prevent its manipulation are
used.
 A common feature of these devices is their bright color, usually red to increase visibility and
allow workers to readily see if a device is isolated. Also, the devices are usually of such a
design and construction to prevent it being removed with any moderate force. (That is to say
that an isolation device does not have to stand up to a chainsaw, but if an operator forcibly
removes it, it will be immediately visible that it has been tampered with).
 To protect one or more circuit breakers in an electrical panel a lockout tagout device called the
Panel Lockout can be used. It keeps the panel door locked and prevents the panel cover from
being removed. The circuit breakers remain in the off position while electrical work is done.

42
Group lockout
When two or more people are working on the same or different parts of a larger overall system,
there must be multiple holes to lock the device. To expand the number of available holes, the
locked-out device is secured with a folding scissors clamp that has many pairs of padlock holes
capable of keeping it closed. Each worker applies their own padlock to the clamp. The locked-out
device cannot be activated until all workers have removed their padlocks from the clamp. A
lockout device applied to a hoist brake. This prevents unintended movement of the hoist. The
lockout hasp is secured with two padlocks. In the United States a lock selected by color, shape or
size (e.g. red padlock) is used to designate a standard safety device, locking and securing
hazardous energy. No two keys or locks should ever be the same. A person's lock and tag must
only be removed by the individual who installed the lock and tag unless removal is accomplished
under the direction of the employer. Employer procedures and training for such removal must
have been developed, documented and incorporated into the employer energy control program.
Identification
By US Federal regulation 29 CFR 1910.147 (c) (5) (ii) (c) (1) the tag must have an identification
showing the name of the person doing the lock and tag. [3] While this may be true for the
United States, it is not mandatory in Europe. The lockout can also be done by a "role" such as
the shiftleader. Using a "lockbox",[clarification needed] the shift leader is always the last one
to remove his lock, he has to verify it is safe to start up equipment.
The five security steps[edit]
According to the European standard EN 50110-1, the safety procedure before working on
electric equipment comprises the following five steps:
 Disconnect completely;
 Secure against re-connection;
 Verify that the installation is dead;
 Carry out earthling and short-circuiting; and
 Provide protection against adjacent live parts.
Site policies regarding Lockout/Tagout[edit]
 Many sites have the officially stated policy that only the person who tagged the device can
untag it. This means that if a worker goes home after their shift without removing the tag
from a device which is ready to use, then they will have to travel back to the site to untag it.
Giving approval for the removal of a tag over the phone is prohibited.[citation needed]
 While this policy might seem to be encouraging workers to take the risk of not tagging out in
the first place, it is usually accompanied by a policy stating that working on a device without
tagging it out will result in instant dismissal.
 The accident classification identifies the circumstances which contributed most directly
to the resulting accident. The accident may or may not be directly tied to any resulting
injury. For that reason, you must not associate the classification decision with any injury
that may have resulted.

43
 Chapter 2

ACCIDENT AND INCIDENT / NEAR MISS / DANGEROUS

OCCURRENCE REPORTING, INVESTIGATION
Philosophy:
Philosophy of industrial accident investigation should be clear and well explained to
workers. It should not be fault-finding and blaming any individual. But Fact finding .It's main
objective is to find out the real cause (s) of the accident and then based on it, to suggest appropriate
remedial measures to prevent its recurrence.
Person should be explained about the consequence and to improve himself not to commit
such act in future. He should be properly trained if necessary.

Purposes of Investigation and Report:

The main purposes arc:
 To learn accident causes so that similar accidents can be prevented by improvement of working
conditions, actions and supervision. This helps in designing accident prevention strategies.
 To make the hazard known to the management, workers and supervisors to direct their
attention to accident prevention.
 To find facts to determine legal liability and information for preventive purposes. If the
purpose is 'to fix blame or responsibility', vital information will often be withheld or distorted.
Therefore an investigation should be for the preventive purposes to disclose facts and not
faults.
 To establish procedure to combat damage claims under compensation laws.
 To determine the ‘change’ or deviation that produced an 'error' that in turn resulted in an
accident (systems safety analysis).
 In case of accident affecting the society as a whole the Government may intervene for the
purpose of banning of the hazardous material or process.
 To find out injury rates to compare safety performance.
 To use the record for the purpose of job safety analysis.
 To develop safety rules, procedures, bulletins, posters and material for safety meetings and
motivation and
 To amend die safety law if it is thought necessary by the Government.
Process and Types of Investigation: (5 W &1 H )
Process of investigation includes observation at site, interrogation with workers, fact
findings, judgement and recommendations.
44
 Some objective questions to be considered and answered by the investigator are : Who was
injured, what was he doing at that time, where was he, who was with him, what he has to say about
happening, what part of the injured is involved, how was he injured, what was unsafe-the
condition, the method or the action of the injured? what does the medical report suggest, what
safeguards should be used, what safeguards are provided to prevent recurrence and what are yet to
be provided. Such and similar other questions and their answers constitute a Supervisor's Accident
Report.
The first requirement for the injured person is to provide him medical treatment. It is a
mistake to make him upset by questions. It is advisable to wait till he recollects his thoughts and
gets his nerves under control. Initial story should be collected from spot checking and
interrogation with co-workers and eye-witnesses. There should not be delay in initial inquiry. The
conditions should be kept unaltered pending the investigation. Photographs, sketches, notes,
computer and DCS records etc. will help much. Chronological questions should be asked and the
concerned facts should be collected viz. testing reports, registers, documents, instructions,
defective or damaged parts etc. The fact findings should aim to determine exact causes of the
accident. All causes should be considered and classified according to severity and responsibility
for preventive purpose. As the last step, suggestions and recommendations for the prevention
should be submitted in writing. An emphasis should be put to suggest engineering controls than
to suggest human responsibilities. If it needs, training methods should be suggested.
Effectiveness and practicability of the recommendations should not be forgotten.
Implementing difficulties should be considered and replied. Then the report is sent to the
management for implementation.
All fatal and serious accidents and dangerous occurrences must be investigated thoroughly
and all reportable, non-fatal and repetitive accidents should also be inquired. If time permits non-
reportable and near-miss accidents should also be investigated.
Types of Accidents are mentioned in Part 8.1 of Chapter-4. Accident statistical forms are
given in Part 9 and 12 of Chapter-5. Accident classification (analysis) is explained in Part 3.5
following. Types of investigations depend on the circumstances and objective of each case. Some
types are failure mode and effect analysis, HAZOP, fault tree, event tree, cost effectiveness,
statistical method, critical incident method, system safety etc. as described in foregoing two parts
of this Chapter.
Agencies investing accidents:
In case of statutory reportable accidents, generally factory inspectors (Govt. Labour
Dept.) investigate, but, because of -a $mall number of staff and big number of accidents in
45
hundreds of factories in their charge, obviously, they cannot investigate all small accidents
reported to them. They investigate serious and fatal accidents and give detailed report showing the
facts, breach of law if any, and remedial measures. They may order to prohibit the use of some
plant, equipment, process or premises if it is found of imminent danger to them. Investigation
of Bhopal accident resulted into an order of permanent closer of the factory. A committee may be
constituted by the Govt. to inquire into serious accidents. The finding may be used to amend the
safety law if required.
Major, permanent and immediate responsibility of accident investigation lies upon the
factory management and it is in their interest also. Even then it is noticed that majority of the small
factories have not yet thought to self-inspect or investigate their own accidents. They simply report
and rest upon the insurance. This is not good. Each factory should have its own system or
arrangement to investigate accidents, hazards and to suggest and implement the remedial
measures. This is most advisable and useful for the purpose of safety. They may utilise safety
consultancy services of safety specialists.
Depending upon the gravity and nature of the accident, it may be investigated by foreman
or supervisor, safety officer or engineer, safety committee or an expert group including
consultants. The supervisor should report and investigate each accident, as he is the nearest man
having more knowledge of the accident facts and remedial measures. The safety officer should
investigate each important accident for his own information and report to the top management for
necessary steps. His specialised knowledge, training, experience and ability make his report more
valuable and useful in preventing recurrence. The safety committee's report is sometimes more
effective as it carries workers' voice as representatives in the committee and rich knowledge of
the Department Head.
The information gained from accident investigations should be used throughout the
establishment where it is applicable. All similar or identical possibilities should be judged to
prevent similar accidents.
Accident Analysis (Classification)
Investigation and analysis go together. The facts found form the investigation are first
analysed. The analysis should reveal one hypothesis to explain all the facts adequately. Result
oriented Objective Analysis procedure should include the following :
1. Identify and locate the main source of accidents from actual experience, materials,
machines, tools, jobs, men and methods most likely to produce injuries. (4 Ms)
2. Disclose the nature (Classification) and size (Types) of the accident problem in
departments and among occupations.
46
 3. Indicate the need for engineering revision by identifying the unsafe conditions,
materials, equipment and environment.
4. Disclose inefficient operating procedures, processes, poor layout and outdated
methods to reduce accidents.(Check SOPs)
5. Disclose the unsafe practices for training of employees.
6. Disclose improper placement of personnel in instances of handicaps contributing to
accidents.(Selection)
7. Guide supervisors to use their maximum time for safety work by providing them
information about the hazards in their departments.
8. Evaluate the success of a safety programme by continuing analysis of the effects of
different safety measures, educational techniques and other methods to prevent injuries.
As per IS : 3786
The principal factors related to causation of accidents are : (a) agency (b) unsafe
mechanical or physical condition (c) unsafe act (d) unsafe personal factor (e) type of accident (f)
nature of injury and (g) location of injury.
A standard classification as given in Appendix B of IS:3786 could serve as a guide for
detailed analysis of accidents for the study of various causative factors and their relationships.
The major divisions are given below. For details the Appendix -B should be referred.
B-l Classification According to Agency.
B-2 Classification According to Unsafe Material or Physical Conditions.
B-3 Classification According to the Unsafe Act.
B-4 Classification According to Unsafe Personal Factor.
B-5 Classification According to Type of Accident.
B-6 Classification According to Nature of the injury.
B-7 Classification According to the location of the injury.
Example 1 :
A lathe operator lost his two fingers of left hand when it was trapped in the nip of
unguarded speed changing pulley belts when the start switch lever was accidentally turned to 'on
position' by striking his body to the lever. Analyse this accident by identifying the key facts
(factors) and causes of this accident.
S. No. Analysis Key Factors (Causes) Part of IS : 3786
1 Agency -- Speed changing pulley belt of the lathe 2023
2 Unsafe condition -- (1) Unguarded pulley-belt 10
(2) Start switch of the wrong type

47
3 Unsafe Act Taking unsafe position of posture 60
4 Unsafe personal factor Deaf or dump
5 Type of accident Caught between moving objects 133
6 Nature of Inquiry Amputation of two fingers 340
7 Location of injury Fingers 447
Example 2:
A helper in a chemical plant while transferring 2-4 dichlorophenol in a carboy through
pumping and with tight fitting rubber hose-pipe inserted in the carboy without venting was
splashed by the chemical came out due to rupture of the pipe, died within 15 minutes. He has not
worn the PVC overall and hand gloves. Analyse this accident as per IS Classification.
S. No. Analysis Key Factors (Causes) Part of IS : 3786
1 Agency -- Toxic Chemical 2324
2 Unsafe condition -- 1. Rubber hose - pipe 30
2. No venting while filling i.e. hazardous
arrangement.
3 Unsafe Act 1. Not wearing protective equipment 50
and Not allowing air vent in the carboy
i.e. unsafe placing.
4 Unsafe personal factor Nil
5 Type of accident Contact by absorption of harmful 171
substance.
6 Nature of Inquiry Death by acute poisoning 370
7 Location of injury Upper limb, multiple locations 448

Thus seven key factors (facts with causes) are explained above by two examples. These
factors are defined and classified in Appendix B of IS:3786. Also refer Chapter-30 for case studies
of number of such accident cases and try to classify them accordingly.
Relative importance of proximate cause and accident (key) factors in any accident
investigation is evident from above examples and case studies. The proximate cause (unsafe
condition/action) explains the phenomena of accident and suggests the appropriate remedy to
prevents recurrence. If the cause is not known, selection of remedy and its application are not
possible. Other accident factors viz. agency, type, nature and location of injury explain the
classified effects of an accident which are useful in determining type of guard or guard position,
safety device, protection from dangerous contact and type of personal protective equipment
necessary.

IS : 3786:

48
Key Factor:
As we know that as per IS:3796, there are seven principal factors related to causation of accidents
are : (a) agency (b) unsafe mechanical or physical condition (c) unsafe act (d) unsafe personal
factor (e) type of accident (f) nature of injury and (g) location of injury.

Immediate Causes:
Out of these the first factor Agency which is in immediate contact with an injured Person is the
immediate cause.
Types of Agencies are:
 Belt & Pulley  Machine
 Chain & Sprocket  Part of machine
 Chemicals(Flammable, Toxic,  Tools
Poisonous, Corrosive)  Conveyors
 Vehicles  Ladders, Scaffoldings
 Lift  Floors
 Hoist  Oils, Grease, etc.
 Elevator
Basic causes:
Out of above 7 Key Factors, following are the basic causes
Unsafe act :Unsafe Posture, Unsafe speed, Not wearing PPE, working without authority, Teasing,
Abusing, startling, playing on shop floor workplace
Unsafe personal factor: Unskilled, Untrained, Alcoholics, weak physique ,Dump, Deaf , Anger
Unsafe mechanical or physical condition : Unguarded machine, Unsafe Tool, Unsafe Storage,
Unsafe Ventilation, Unsafe light, unsafe PPE
The proximate cause (unsafe condition/action) explains the phenomena of accident and suggests
the appropriate remedy to prevents recurrence. If the cause is not known, selection of remedy and
its application are not possible. Other accident factors viz. agency, type, nature and location of
injury explain the classified from dangerous contact and type of personal protective equipment
necessary.
Corrective Action:
Action taken to eleminate basic cause of accident to avoid reoccurrence of similar type of accident.
Preventive Action:
Horizontal Deployment of the corrective Action at other similar places & situation to avoid
recurrence of the accident occurred.

49
Accident Reporting Procedure:
After an Accident take place inside the Factory , immediate Supervisor of the shop-floor/Dept fills
up & sign Medical Inspection Chit (MIC) in duplicate for sending Injured Person to the Company
Dispensary for First Aid Treatment.
MIC contains elements such as Date, Time of Accident, Name of Injured Person, Dept/Contractor
name, Type of case whether Industrial, Non-Industrial or sickness, Fresh/Return case, Brief cause
of Accident, Nature of Injury/sickness, Fit/Unfit.
Dispensary keeps original MIC for it’s Record & Duplicate MIC is given to Dept. Supervisor as a
Dept. Record Copy. In case of Unfit accident, Dispensary gives blank Accident Investigation
Report form to Dept. Supervisor as an FIR. Firstt 1/3rd of this FIR Report contains personal
elements of an Injured Person, Second middle portion is Accident Details & the last 1/3rd is
Dispensary Remarks.
Dept. Supervisor has to immediately fill the FIR Accident Report form & submit original to Safety
Dept. for preparing pakka Accident Investigation Report & duplicate of FIR goes to the Personal
Dept. for Reporting to Factory Inspector in form No. 24 in case of Reportable Accident case.
Safety Dept. after investigating Accident at site, prepares Pakka Accident Investigation Report for
finding out the causes & giving the Remedial measures for the said accident case to avoid
recurrence of similar type of Accident.
Sample Accident Investigation Report is given below with required elements to be filled in
duplicate.

Incident/Accident Investigation Report

Name & Address of the Factory: Sr. No.
Tick Type of Incident : Date
Properly Dangerous
First
Minor Major Fatal Near Fire Damage Occurrence Environmental
Aid
Miss

1. Name of the injured person :

2. Contractor :
3. Plant/Section :
4. Employee Code No./Designation :
5. Age/Sex :
6. Date & Time of Incident :
7. Normal Working Hours :

50
8. Location of Incident :
Area Equipment No. Name of Equipment

9. Type of Incident :
10. Body part injured :
11. Nature of Injury/Incident :
12. Extent of Material LOSS/Property Damage :
13. Details of Incident
a. Sequential Occurrence Description :
b. Activity of the injured at the time of Incident :
c. Observations & Inference:
14. Conclusion:
Probable Causes:
a. Immediate causes: b. Basic/Root causes:
15. Preventive Measures :
Sr. No. Recommendations Action By Date Status
1.
2.
16. Evaluation:
Severity Potential Probability Potential
Major Serious Minor Frequent Occasional Rare
17. Investigated By Contractor :
Fire & Safety Dept :
Plant concerned :
18. Discussed & Reviewed OR to be discussed & reviewed at Forum:
19. Copies for Action to :

Signature
Name & Designation

51
 Chapter 3
Measerment & Evalution of Performance Accident Definition:
as per IS:3786 defines as under :
Accident is an unintended occurrence arising out of and in the course of employment of a person
resulting in an injury.
General Definition:-
Accident is an unintended, unforeseen, unplanned event which interpt the orderly progress of the
work in question with may lead to an injury &/or property damage
Reportable Accident:
If a person is disabled for 24 hours after 48 hours of the happening of an accident, than it is called
as Reportable Accident. ( as per F.A.1948 & MFR 1963 )
Non-Reportable Accident:
If a person is disabled after an accident & resumes his duty within 48 hours of happening of an
accident, than it is called as a non-reportable accident.
Fatal Accident:
If a person dies as a consequence of an accident, than it is termed as a fatal accident.
Non-fatal Accident:
If a person does not dies but disabled as a consequence of an accident, it is called as Non-fatal
Accident.
4.2 Near miss Accident:
Near miss Accident: When an Incident takes place without an Injury, it is termed as Near miss
Accident.
Lost time accident: : An Accident other than near miss accidents are lost time accidents in
which an injured person is not able to work for the time as prescribed by the medical officer.
Disabling injury: (Lost Time Injury):
An injury causing disablement extending beyond the day of shift on which the accident occurred.
Accidents reportable under the Factories Act & ESI Act: If a person is disabled for 48
hours or more & not able to attend his duties within next 24 hrs, than it is called as Reportable
Accident. ( as per F.A.1948 & MFR 1963 ) & such accident is to be reported to local Jt. DISH
office in Form no. 24 in 24 hours after the 48 hrs of the happening of an Accident with Injury.
Frequency Rate:
It can be defined as no. of loss time accidents occurred per million man-hours worked.
Frequency Rate = No. of Loss Time Accidents x 1000000
Average man-hours worked
Severity Rate:
It is no. of days lost due to loss time accidents per million man-hours worked.
Severity Rate = No. of days lost due to Loss Time accidents x 1000000
Average man-hours worked

52
Incidence Rate:
General incidence rate is the ratio of the number of injuries to the number of employees during the
period under review. It is expressed as the no. of accidents or injuries, per 1000 persons employed.

IL = No. of lost –time accidents or injuries x 1000

Average No. of persons employed

IR = No. of reportable lost time accidents or injuries x 1000

Average No. of persons employed

Frequency Severity Index or Indicator:

FSI = Sq. root of Frequency rate x Severity rate
1000
This is the square root of Disabling Injury Index. It gives combined effect of frequency and
severity rate. This index can be used to compare-plant to plant. This can be used to indicate degree
of improvement.
Safe T-Score:
It is given by
SafeT-Score =
Frequency rate now – Frequency rate past
Frequency rate past x 106
Manhours worked now.

Positive (+) STS indicates a worsening record while negative (-) STS indicates an
improving record over the past.

If STS is : It indicates Between +2 & -2 Change is not significant. There may be

random fluctuation only. More than +2 Records is worsening than it was in the past. Something
wrong has happened. Less than – 2 Record is improving than it was in the past. Something better
has happened. Thus Safe-T-Score is useful to compare our safety record with the past and to
control it if it is Temporary & Permanent Disablement.
Days of Disablement (Lost Time): In case of disablement of a temporary nature, the
number of days on which the injured person was partially disabled as defined below. In case of
death or disablement of a permanent nature whether it be partial or total disablement as defined
below, man-days lost means the charges in days of earning capacity lost due to such permanent
disability or death as specified in Appendix B. In other cases the day on which the injury occurred
or the day the injured person returned to work are not to be included as man-days lost, but all
intervening calendar days (including Sundays, days off, days of plant shut down etc.) are to be
included. If after resumption of work, the person injured is again disabled for any period arising
out of the injury which caused his earlier disablement, the period of such subsequent disablement
is also to be included in the man-days lost.

53
Temporary Disablement and permanent Disablement Partial and Total Disablement Time
Charges :
Partial Disablement:
This is of two types; (i) disablement of a temporary nature which reduces the earning
capacity of an employed person in any employment in which he was engaged at the time of the
accident resulting in the disablement and (ii) disablement of a permanent nature which reduces his
earning capacity in every employment which he was capable of undertaking at the time.
Total Disablement:
Disablement, whether of a temporary or permanent nature, which incapacitates a workman
for all work which he was capable of performing at the time of the accident resulting in such
disablement, provided that permanent total disablement shall be deemed to result from every type
of injury specified in Part A of Appendix A or from any combination of injuries specified in Part B
of Appendix A where the aggregate percentage of the loss of earning capacity, as specified in that
part against those injuries, amounts to one hundred percent.
found worsening.
Temporary Disability vs. Permanent Disability
 Written by: Michael Ian Rott PRO
 Employment
 Work Injury
 Posted about 2 years ago. Applies to California, 2 helpful votes
 Temporary Disability (TD): If your injury prevents you from doing your usual and customary
job while recovering, you may be eligible for temporary disability benefits, if: Your treating
physician issues a report stating that you are unable to perform your usual and customary job for
more than 3-days; or you are hospitalized; or your employer does not offer you alternate or
modified work that pays your usual wages. If you are entitled to temporary disability, you will
receive a check, equivalent to 2/3rds of your average weekly earnings, up to $986.69 for 2010-
2011 dates of injury, every 2-weeks until you are declared permanent & stationary.
 Permanent Disability (PD): These are benefits paid if your injury or illness results in
permanent impairment which impacts your ability to compete in the job market. After your last
medical appointment, your primary treating physician will issue a final report, known as a
permanent & stationary report (more commonly known as a P&S report). Contained within this
report will be any permanent impairment that your physician indicates based upon his or her
final examination. Next a permanent disability rating will be calculated based upon your age
and occupation at the time of your injury or illness, which is added to your whole person
impairment rating. The max. and min. PD payments for each percentage range is equivalent to
2/3rds of your average weekly earnings at the time of the injury or illness. For 2006-2011 dates
of injury, the max. rate is $270/week, and the minimum is $130/week for impairments from 1%
to 99.75%. For 100% whole person impairment ratings, the injured worker receives TD at the
PD rate.
Methods of Collating and Tabulating Data :
For analysing a small number of reports the tabulation by hand sorting and tallyingis
efficient. Its advantage is that the original records are being used and all the information is
available for reference.For analysing and filing a large number of reports, keysort cards may be
54
 used.This card contains the information of the original report. The code numbers assigned to the
various factors may be punched in the cards so that they can be sorted by a special needle. Sorting
is a hand operation. A third method of tabulation uses card tabulating machine. Here the code
numbers only are punched into the cards which can be quickly and accurately arranged into
various groups. This methods is very useful when the number of reports is very large, when many
classification and cross or sub classifications are required or when tabulation of numerical data
such as days lost etc. are necessary. Modern method of computer processing can also be utilised
for such tabulation.See part 13 of Chapter5 for management information system (MIS).
Follow-up for Corrective Action : Merely obtaining, recording and tabulating of safety data is of
no use. It must be followed by necessary corrective action to provide safe working condition, to
teach safe working actions, to improve existing training system,, to make new safety rules
necessary to improve inspection techniques and analysis to design -posters, safety manual and
positive actions to minimise accidents. Follow up action must be and should consider every
compliance. Reasons of prompt and immediate recommendation for not following the
recommendation or delays
necessary to make changes should be explained. The accident causation should be applied to all
identical cases in other departments also to prevent similar recurrences.
 Record Keeping :
Record of accidents reported to the plant management and to the Government authorities, facts
collected as a result of investigation, analysis of the facts, conclusion about remedial measures
necessary and status of implementation of those measures must be kept in a well documented
form. Computer is more useful in this regard. In DCS system, printouts of accident situations at the
time of accident should be kept out and preserved. Safety department should design formats of
safety records applicable to the factory, train personnel to fill such records and maintain them.
Records keeping may be ordinary or computerized and in much details. Good record is always
useful for
1. Studying past accident causes and remedial measures concluded.
2. Monitoring status of implementation of safety measures.
3. Taking decisions regarding future action in the matters of safety.
Period of maintaining record should be decided depending on the utility of the subject matter.
HAZARD AND RISK ASSESSMENT TECHNIQUES:
This subject requires clear understanding of definitions and difference between hazard and risk,
analysis and assessment etc.
Hazard, Risk & Detection Techniques:
Risk results from hazard i.e. an unsafe condition, action or .situation. Risk is the probability of
frequency of hazards during a certain period (e.g. 2 explosions per year, 20 fires per year, 5
accidents per month, 200 fatalities per year, I disaster per 10 years etc.). Therefore if hazard is
identified and 'removed first, risk is automatically reduced. Some definitions are as under: Hazard
is the inherent property of a substance or unsafe condition, unsafe action or situation to cause harm
which may cause human injury, damage to property or the environment or some combination of
these criteria.Chemical Hazard is a hazard due to chemical (including its storage, process,handling
etc.) and it is realised by fire, explosion, toxicity, radiation etc. Risk is the likelihood, chance,
frequency or probability of an undesired event (i.e. accident, injury or death) occurring within a
specified period or under specified circumstances and its severity, effect or consequences. As per
55
example risk of death for a man aged 30 is 1x10-3 per annum and that for a man aged 60 is 1 x 10-
2 per annum. This means death possibility of a man aged 30 is I out of 1000 per year, while that of
a m<in aged 60 is I out of 100 per year. Risk unit '1 x 10-n means 1/10" i.e. one time event out of-
10n such occurrences during a period (e.g. I year). Individual Risk is the frequency at which an
individual may be expected to sustain a given level of harm from the realisation of specific
hazards. Societal Risk is a measure of the chances of a number of people being affected by a single
event or set of events and is often presented as f/n curves, (i.e. frequency v/s number of people
affected). Almost all human activities involve some risk and zero risk is not possible. Therefore the
concept of Acceptable risk is developed and Fischoff defines it as 'the level which is good enough
where the advantages of increased safety are not worth the extra costs of reducing risk'. Thus it
indicates the balancing condition of accident costs v/s preventive costs. Hazard and Risk
distinguished: For example, banana skin lying on the road is a hazard but 2 persons falling per
hour due to that, is a risk. Non-provision of safe overflow pipe is a hazard but weekly overflowing
of the tank due to that, is a risk. Process of sand blasting is a hazard but contracting of silicosis by
a worker at any point of time, is a risk. Storage of toxic gas is a hazard but due to its escape and
effects, probability of deaths of 100 persons per 10 years, is a risk. Not providing a 'safety valve is
a hazard but bursting of vessel once In 5 years, is a risk. Bad housekeeping is hazard but 2
accidents per month or 20 workers leaving the job every year due to it, is a risk. Thus
identification, analysis and assessment of hazards are different than the identification, analysis and
assessment of risks, though both are interrelated. Factors of tune, frequency or ill effects
(consequence) are added in 'risk' distinguishing it from 'hazard'. Some definitions relevant to risks
are as under :
1. Exposure to Risk : A situation created whenever an act or omission gives rise to possible gain
or loss that cannot be predicted.
2. Cost of Risk : The cost imposed upon organisation because of the presence of risk. Its
component parts are (1) the cost of losses that do occur and (2) the cost of uncertainty itself. 3.
Risk Management : A general management function that seeks to identify, assess, address,
control and review the causes and effects of uncertainty and risk on an organisation. It includes
assessment, control, financing and administration of risk as defined herein below.
4. Risk Analysis : Technical process of identifying, understanding and evaluating risk (analysing
cause and effect wise).
5. Risk Assessment : It is a judgement of significance or activities that enable the risk manager to
identify, evaluate and measure risk and uncertainty and their potential impact on the organisation.
This judgement can be taken when the measured value of hazard or risk is compared with the value
or standard legally or otherwise prescribed. This calls for an expertise of an industrial hygienist.
6. Risk and Uncertainty Assessment : All activities associated with identifying, analysing,
measuring, comparing and concluding risk and uncertainty.
7. Risk Control : All activities associated with avoiding, preventing, reducing or
otherwise controlling risks and uncertainties.
8. Risk Financing : Activities providing means of reimbursing losses (i.e. finance for the cost of
risks and losses) that occur and that fund other programmes to reduce risks and uncertainties.
9. Risk Administration : Activities and strategies associated with the long-term and day-to-day
operation of the risk management function.

56
10. Risk Selection : The control technique best described as the conscious acceptance of risk in
accordance with an organisation's overall goals, objectives and risk taking philosophy.
11. Risk Avoidance : A risk control technique whereby a risk is proactively avoided or abandoned
after rational consideration.
12. Loss Prevention : Those strategies and activities intended to reduce or eliminate the chance of
loss.
13. Loss Reduction : Activities minimising the impact of losses that do occur.
14. The Risk Chain : Five elements or links connected with accident i.e. hazard, environment,
interaction, outcome and consequence.
15. Subrogation : Risk transfer by legal document as a loss reduction tool.
16. Risk Transfer : If risks cannot be controlled, the last resort is to transfer the risk by contract of
job, or property or insurance to pay for losses.
17. Risk Retention : A risk financing method in which the organisation experiencing a loss retains
the risk by self financing or borrowed funds, or by a group to which the organisation belongs.
Retention may be passive or active, unconscious or conscious, unplanned or planned.
18. Information Management (as a risk reduction tool): The use of information for
the express purpose of reducing uncertainty or for enhancing stakeholder awareness or knowledge
of organizational risks.
Hazard detection techniques :
Unsafe acts and unsafe conditions must be observed to find out hazards. Statutory accidents reports
(e.g. Form 21 & 29 GFR) should be seen to detect past accident causes. Unsafe acts due to
psychological and physiological personal factors should be detected as explained in Chapters 3 and
4. Hazards of unsafe conditions are mechanical, electrical, chemical (including radiation) and
environmental. Some hazards are visible and some invisible. Visible hazards can be detected by
various techniques such as:
(1) Plant inspection based on statutory requirement, checklist, safety survey, safety audit and
safety sampling
(2) Detection and monitoring systems
(3) Functional test of machinery and equipment
(4) Accident investigation
(5) Repair shop
(6) Store consumption and
(7) Shop feedback etc. Examples of visible hazards are unguarded machinery, bad housekeeping,
wrong practices etc.
To discover such hazards careful planning and inspecting system is necessary. Some steps
are:
(1) Make a list of all statutory applicable provisions of the Factories Act and other Acts, make a
survey of the plant to compare the existing provisions and find out the missing provisions
(hazards) for implementation
(2) Make a list of materials, processes, operations, vessels, equipment, machinery and classify
them as hazardous and non-hazardous. Chemicals should be classified according to their hazardous
properties.

57
(3) Prepare layout of plant, machinery, equipment, premises and utility services like power, water,
air, gas and heating / cooling media. From these prepare a list of possible hazards.
(4) By means different techniques mentioned in Part I and 2. Further details of the hazards should
be detected and
(5) By means of a detailed inspection report preventive measures should be suggested. Invisible
hazards like gas leaks, concentration of toxic and hazardous vapour, malfunction or failure of
machinery, equipment, pressure plants and miscellaneous environmental factors may cause sudden
accident and heavy damage. They must be detected and controlled by built in self corrective
systems.
The devices used are detectors, recorders, alarms, trips, probes, sensors, limit switches,
meters, analysers, electronic or auto controls, scrubbers, incinerators etc. In modern machines
various automatic movements take place near and around point of operation. Feeding devices,
clamping action and work head movements should be interlocked with each other. Each position of
these elements must be sensed and linked with command controls. Any malfunction of moving
elements is indicated on audio-visual panel and the machine stops Repair shop data reveals clues to
unsafe conditions like poor design, defective material, poor construction, wear and tear etc.
Repetitive repairs indicate major hazards. Similarly store consumption data also indicates some
defects. There should be a regular feedback of information from repair shop, stores, operators and
foremen to monitor hazards and to take corrective actions. Heating equipment should have
temperature controllers and additional thermostats for better protection and to give audio-visual
signals and to cut off power supply or heat source. In furnaces using flammable fuel in scaled
chamber, the components are charged through hydraulically operated carriages and such carriages,
fuel flow and flame curtain are sensed by various gadgets like photo-sells, probes, limit switches
etc. Failures are sensed and indicated o panel. Suitable corrective actions are automatically taken
viz. purging nitrogen etc. Toxic exposures are neutralised by scrubbers. Flammable exposures are
controlled by flameproof fittings, flare and vents.Effluents are treated in 'treatment plants to nullify
their harmful effects.

Classification of accident
The classifications are listed in alphabetical order:

 ELECTRICAL - Accidents in which electric current is most directly responsible for the
resulting accident.
 ENTRAPMENT - In accidents involving no injuries or nonfatal injuries which are not serious,
entrapment of mine workers takes precedence over roof falls, explosives accidents, inundations,
etc. If a roof fall results in an entrapment accident, the accident classification is �Entrapment.
 EXPLODING VESSELS UNDER PRESSURE - These are accidents caused by explosion of
air hoses, air tanks, hydraulic lines, hydraulic hoses, and other accidents precipitated by
exploding vessels.

58
 EXPLOSIVES AND BREAKING AGENTS - Accidents involving the detonation of
manufactured explosives, Airdox, or Cardox, that can cause flying debris, concussive forces, or
fumes.
 FALLING, ROLLING, OR SLIDING ROCK OR MATERIAL OF ANY KIND -Injuries
caused directly by falling material require great care in classification. Remember that it is the
accident we want to classify. If material was set in motion by machinery, haulage equipment, or
hand tools, or while material is being handled or disturbed, etc., charge the force that set the
material in motion. For example, where a rock was pushed over a highwall by a dozer and the
rock hit another rock which struck and injured a worker - charge the accident to the dozer.
Charge the accident to that which most directly caused the resulting accident. Without the dozer,
there would have been no resulting accident. This includes accidents caused by improper
blocking of equipment under repair or inspection.
 FALL OF FACE, RIB, SIDE OR HIGHWALL - Accidents in this classification include falls
of material (from in-place) while barring down or placing props; also pressure bumps and bursts.
Since pressure bumps and bursts which cause accidents are infrequent, they are not given a
separate category. Not included are accidents in which the motion of machinery or haulage
equipment caused the fall either directly or by knocking out support; such accidents are classified
as machinery or haulage, whichever is appropriate.
 FALL OF ROOF OR BACK - Underground accidents which include falls while barring down
or placing props; also pressure bumps and bursts. Not included are accidents in which the motion
of machinery or haulage equipment caused the fall either directly or by knocking out support;
such falls are classified as machinery or haulage, whichever is appropriate.
 FIRE - In underground mines, an unplanned fire not extinguished within 10 minutes of
discovery; in surface mines and surface areas of underground mines, an unplanned fire not
extinguished within 30 minutes of discovery;
 HANDLING MATERIAL - (Lifting, pulling, pushing, shoveling material.) The material may
be in bags or boxes, or loose sand, coal, rock, timber, etc. The accident must have been most
directly caused by handling material.
 HAND TOOLS - Accidents related to non-powered tools when being used as hand tools. Do not
include electric tools or air-powered tools.
 HOISTING - Damage to hoisting equipment in a shaft or slope which endangers an individual
or interferes with use of the equipment for more than 30 minutes. Hoisting may also be the
classification where a victim was injured by hoisting equipment but there was no damage to the

59
 equipment. Accidents involving cages, skips, buckets, or elevators. The accident results from the
action, motion, or failure of the hoisting equipment or mechanism. Included is equipment such as
derricks and cranes only when used in shaft sinking; suspended work platforms in shafts; mine
cars being lowered or raised by hoisting equipment on slopes or inclines; a skip squeezed
between timbers resulting in an accident; or an ore bucket tipped for any reason causing an
accident.
 IGNITION OR EXPLOSION OF GAS OR DUST - Accidents resulting as a consequence of
the ignition or explosion of gas or dust. Included are exploding gasoline vapors, space heaters, or
furnaces.
 Methane Ignition - A methane ignition occurs when methane burns without producing
destructive forces. Damage resulting from an ignition is limited to that caused by flame
and heat. Personnel in the immediate vicinity of an ignition may be burned and line
brattice or other materials in close proximity may be discolored, melted or burned.
Ignitions generally involve small quantities of methane and are usually confined to a
small area; however, in the case of methane roof layering, flame spread may be more
extensive.
 Methane Explosion - A methane explosion occurs when methane is ignited and burns
violently. The flame of the explosion accelerates rapidly, heating the environment and
causing destructive forces. Evidence of the destructive forces may be manifest on
victims, equipment, structures, etc. Witnesses to an explosion may hear the noise
generated by the resulting sound pressure wave.
 IMPOUNDMENT - An unstable condition at an impoundment, refuse pile, or culm bank which
requires emergency action in order to prevent failure, or which causes individuals to evacuate an
area. Also the failure of an impoundment, refuse pile, or culm bank.
 INUNDATION - An unplanned inundation of a mine by a liquid or gas. The mine may be either
a surface or underground operation.
 MACHINERY - Accidents that result from the action or motion of machinery or from failure of
component parts. Included are all electric and air-powered tools and mining machinery such as
drills, tuggers, slushers, draglines, power shovels, loading machines, compressors, etc. Include
derricks and cranes except when they are used in shaft sinking (see HOISTING) or mobile
cranes traveling with a load (see POWERED HAULAGE).

60
 NON-POWERED HAULAGE - Accidents related to motion of non-powered haulage
equipment. Included are accidents involving wheelbarrows, manually pushed mine cars and
trucks, etc.
 POWERED HAULAGE - Haulage includes motors and rail cars, conveyors, belt feeders,
longwall conveyors, bucket elevators, vertical manlifts, self-loading scrapers or pans, shuttle
cars, haulage trucks, front-end loaders, load-haul- dumps, forklifts, cherry pickers, mobile cranes
if traveling with a load, etc. The accident is caused by the motion of the haulage unit. Include
accidents that are caused by an energized or moving unit or failure of component parts. If a car
dropper suffers an injury as a result of falling from a moving car, charge the accident to haulage.
 SLIP OR FALL OF PERSON - Includes slips or falls from an elevated position or at the same
level while getting on or off machinery or haulage equipment that is not moving. Also includes
slips or falls while servicing or repairing equipment or machinery. Includes stepping in a hole.
 STEPPING OR KNEELING ON OBJECT - Accidents are classified in this category only
where the object stepped or kneeled on contributed most directly to the accident.
 STRIKING OR BUMPING - This classification is restricted to those accidents in which an
individual, while moving about, strikes or bumps an object but is not handling material, using
hand tools, or operating equipment.
 OTHER - Accidents not elsewhere classified. This is a last resort category.
ASSESSSMENT OF WORK INJURY
Thorough investigation of all factors relating to the occurrence of each reported injury is
essential. Determination as to whether or not the injury should be considered a work injury under
the provisions of this standard shall be based on the evidence collected during investigations.
Evidence
The evidence to be considered in determining whether or not the reported injury should be
considered a work injury may include, but not necessarily be limited to, the following:
a) Facts resulting from investigation of the injured employees’s work activities and working
environment to which the injury might be related:
b) Statements (written if possible) of the injured employee, fellow employees, witnesses and
supervisors:
c) Medical reports acceptable to the authority classifying the work injury; and
d) Facts concerning the injured employee’s work activity for other employers, and other off-the-
job activities, injuries and illnesses.
Assessment of Special Cases

61
General
Before inclusion in the record special case should be assessed. Clauses are intended to
assist in such assessment but these provisions/rules should not be used to exclude a genuine work
injury from the record.

62
Inguinal Hernia
An inguinal hernia shall be considered a work injury only if it is precipitated by an impact, sudden
effort, or severe strain, and meets, after investigation, all of the following conditions:
a) There is clear evidence of an accidental event or an incident, such as a slip, trip or fall, sudden
effort or over-exertion;
b) There was actual pain in the hernial region at the time of the accident or incident; and
c) The immediate pain was so acute that the injured employee was forced to stop work long
enough to draw the attention of his foreman or fellow employee, or the attention of a physician
was secured within 12 hours.
Back Injury
A back injury or strain shall after investigation, be considered a work injury if:
a) There is clear evidence of an accident event or an incident event or an incident such as a slip,
trip or fall, sudden effort or over-exertion, or blow on the back; and
b) A medical practitioner, authorized to treat the case, is satisfied after a complete review of the
circumstances of the accident or incident that the injury could have arisen out of the accident or
incident.
Aggravation of Pre-existing condition
If aggravation of Pre-existing physical deficiency arises out of or in the course of employment, the
resulting disability shall be considered a work injury and shall be classified according to the
ultimate extent of the injury except that if the injury is an inguinal hernia or a back injury the
requirement of 5.2.2 or 5.2.3 shall apply.
Aggravation of Minor Injury
If a minor injury is aggravated because of diagnosis or treatment, either professional or non-
professional, or if infection or other symptoms develop later, either on the job or offthe-job the
injury shall be classified according to its ultimate extent.
Cardiovascular Diseases
This term is used to cover the following groups:
a) Rheumatic heart disease,
b) Hypertensive disease,
c) Ischaemic disease,
d) Heart disease secondary to pulmonary disease,
e) Cerebrovascular disease,
f) Disease of arteries, arterioles and capillaries, and

63
g) Disease of veins and lymph vessels.
Cardiovascular disease shall not be recorded as work injuries unless:
a) The symptoms were so severe during working hours that the attention of a supervisor was drawn
to them; and
b) A medical practitioner, authorized to treat the case, satisfied after a thorough investigation, that
the disease or aggravation of the disease was work caused.
Miscellaneous
The category includes the following:
a) Purposely inflicted injuries – An injury purposely inflicted by the employee or another person
shall be considered a work injury if it arises out of or in the course of employment;
b) Skylarking – An injury inflicted by or arising out of skylarking during employment shall be
considered a work injury.
Other disabilities
The following are examples of injuries which shall be considered work injuries if they arise out of
or in the course of employment:
a) Animal and insect bites;
b) Skin irritation and infections;
c) Muscular disability;
d) Injuries arising from exposure to extreme temperature (hot or cold); and
e) Loss of hearing, sight, taste, feel or sense of smell.
Computation of frequency, severity and incidence rates :
frequency rate the frequency rate shall be calculated both for lost time injury and reportable lost
time injury as follows:
FA =
Number of lost time injury × 1000000
-------------------------------------------------------
Man-hours worked

FB =
Number of reportable lost time injury × 1000000
--------------------------------------------------------------------
Man-hours worked

NOTES: 1) If the injury does not cause loss of time in the period in which it occurs but in a subsequent
period, the injury should be included in the frequency rate of the period in which the loss of time begins. 2)
64
If an injury causes intermittent loss of time, it should only be included in the frequency rate once, that is,
when the first loss of time occurs. 3) Since frequency rate FB is based on the lost time injuries reportable to
the statutory authorities, it may be used for official purposes only. In all other cases, frequency rate FA
should be used for comparison purposes.

Severity Rate
The severity rate shall be calculated from man-days lost both of lost time injury and reportable lost
time injury as follows:

SA =
Man-days lost due to lost time injury × 1000000
--------------------------------------------------------------------
Man-hours worked

SB =
Man-days lost due to reportable lost time injury × 1000000
--------------------------------------------------------------------------------
Man-hours worked
NOTE – Since severity rate SB is based on the lost time injuries reportable to the statutory
authorities,
it should be used for official purposes only. In all other cases severity rate SA should be used for
comparison purposes.
Calculation of man-days lost under shall be based on the following:
a) Man-days lost due to temporary total disability;
b) Man-days lost according to schedule of charges for death and permanent disabilities as given in
Annexure A. In case of multiple injury, the sum of schedule charges shall not be taken to exceed
6000 man-days;
c) Days lost due to injury in previous periods, that is, if any accident which occurred in previous
period is still causing loss of time in the period under review, such loss of time is also to be
included in the period under review;
d) In the case of intermittent loss of time, each period should be included in the severity rate for
the period in which the time is lost; and
e) If any injury is treated as a lost time injury in one statistical period and subsequently turns out to
be a permanent disability; the man-days charged to the injury shall be subtracted from the schedule
charge for the injury when permanent disability becomes known.
Incidence Rates
General incidence rate is the ratio of the number of injuries to the number of persons during the
period under review. It is expressed as the number of injuries per 1000 persons employed.
The incidence rate may be calculated both for lost-time injuries and reportable lost-time injuries as
follows:
Lost-time injury incidence rate =
Number of lost-time injuries × 1000
--------------------------------------------------------
Average number of persons employed

65
Reportable lost-time=

Injury incidence rate =

Number of reportable lost-time injuries × 1000
--------------------------------------------------------------
Average number of persons employed

Inguinal hernia
An inguinal hernia occurs when tissue, such as part of the intestine, protrudes through a weak spot
in the abdominal muscles. The resulting bulge can be painful, especially when you cough, bend
over or lift a heavy object.
An inguinal hernia isn't necessarily dangerous. It doesn't improve on its own, however, and can
lead to life-threatening complications. Your doctor is likely to recommend surgery to fix an
inguinal hernia that's painful or enlarging. Inguinal hernia repair is a common surgical procedure.
Symptoms:
Inguinal hernia signs and symptoms include:
 A bulge in the area on either side of your pubic bone, which becomes more obvious when
you're upright, especially if you cough or strain
 A burning or aching sensation at the bulge
 Pain or discomfort in your groin, especially when bending over, coughing or lifting
 A heavy or dragging sensation in your groin
 Weakness or pressure in your groin
 Occasionally, pain and swelling around the testicles when the protruding intestine descends
into the scrotum
You should be able to gently push the hernia back into your abdomen when you're lying down. If
not, applying an ice pack to the area may reduce the swelling enough so that the hernia slides in
easily. Lying with your pelvis higher than your head also may help.
Incarcerated hernia
If you aren't able to push the hernia in, the contents of the hernia can be trapped (incarcerated) in
the abdominal wall. An incarcerated hernia can become strangulated, which cuts off the blood flow
to the tissue that's trapped. A strangulated hernia can be life-threatening if it isn't treated.
Signs and symptoms of a strangulated hernia include:
 Nausea, vomiting or both
 Fever
 Sudden pain that quickly intensifies
 A hernia bulge that turns red, purple or dark
 Inability to move your bowels or pass gas
If any of these signs or symptoms occurs, call your doctor right away.

66
Signs and symptoms in children
Inguinal hernias in newborns and children result from a weakness in the abdominal wall that's
present at birth. Sometimes the hernia will be visible only when an infant is crying, coughing or
straining during a bowel movement. He or she might be irritable and have less appetite than usual.
In an older child, a hernia is likely to be more apparent when the child coughs, strains during a
bowel movement or stands for a long period.
When to see a doctor
See your doctor if you have a painful or noticeable bulge in your groin on either side of your pubic
bone. The bulge is likely to be more noticeable when you're standing, and you usually can feel it if
you put your hand directly over the affected area. Seek immediate medical care if a hernia bulge
turns red, purple or dark.
Causes
Some inguinal hernias have no apparent cause. Others might occur as a result of:
 Increased pressure within the abdomen
 A pre-existing weak spot in the abdominal wall
 A combination of increased pressure within the abdomen and a pre-existing weak spot in the
abdominal wall
 Straining during bowel movements or urination
 Strenuous activity
 Pregnancy
 Chronic coughing or sneezing
In many people, the abdominal wall weakness that leads to an inguinal hernia occurs at birth when
the abdominal lining (peritoneum) doesn't close properly. Other inguinal hernias develop later in
life when muscles weaken or deteriorate due to aging, strenuous physical activity or coughing that
accompanies smoking.
Weaknesses can also occur in the abdominal wall later in life, especially after an injury or
abdominal surgery.
In men, the weak spot usually occurs in the inguinal canal, where the spermatic cord enters the
scrotum. In women, the inguinal canal carries a ligament that helps hold the uterus in place, and
hernias sometimes occur where connective tissue from the uterus attaches to tissue surrounding the
pubic bone.
Risk factors
Factors that contribute to developing an inguinal hernia include:
 Being male. Men are eight times more likely to develop an inguinal hernia than are women.
 Being older. Muscles weaken as you age.
 Being white.

 Family history. You have a close relative, such as a parent or sibling, who has the condition.
 Chronic cough, such as from smoking.
 Chronic constipation. Constipation causes straining during bowel movements.

67
  Pregnancy. Being pregnant can weaken the abdominal muscles and cause increased pressure inside
your abdomen.
 Premature birth and low birth weight.
 Previous inguinal hernia or hernia repair. Even if your previous hernia occurred in childhood,
you're at higher risk of developing another inguinal hernia.
Complications
Complications of an inguinal hernia include:
 Pressure on surrounding tissues. Most inguinal hernias enlarge over time if not repaired surgically.
In men, large hernias can extend into the scrotum, causing pain and swelling.
 Incarcerated hernia. If the contents of the hernia become trapped in the weak point in the abdominal
wall, it can obstruct the bowel, leading to severe pain, nausea, vomiting, and the inability to have a
bowel movement or pass gas.
 Strangulation. An incarcerated hernia can cut off blood flow to part of your intestine. Strangulation
can lead to the death of the affected bowel tissue. A strangulated hernia is life-threatening and
requires immediate surgery.
Prevention:
 Maintain a healthy weight. Talk to your doctor about the best exercise and diet plan for you.
 Emphasize high-fiber foods. Fruits, vegetables and whole grains contain fiber that can help prevent
constipation and straining.
 Lift heavy objects carefully or avoid heavy lifting. If you must lift something heavy, always bend
from your knees — not your waist.
 Stop smoking. Besides its role in many serious diseases, smoking often causes a chronic cough that
can lead to or aggravate an inguinal hernia.
 Don't rely on a truss. Wearing a supportive garment designed to keep hernias in place (hernia truss)
doesn't correct the problem or help prevent complications. Your doctor might recommend a hernia
truss for a short time before surgery to help you feel more comfortable, but the truss isn't a
replacement for surgery.

WORK-RELATED BACK INJURY

Bank injuries in the workplace can have very serious consequences for an employee. A
back injury is one of the most common workplace accidents which we deal with in Sinnott
Solicitors.
A back injury to an employee can cause chronic pain, difficulty walking and in performing
ordinary everyday tasks, difficulties with lifting and in very serious cases, full or partial paralysis.
In some cases a back injury sustained in the workplace can prevent an employee from being able to
continue working and such back injuries may require long term care depending on the severity of
the injury.
The causes of most back injuries in the workplace include the following:
 The lifting and manual handling of various objects in the workplace
 Insufficient breaks during the course of prolonged spells of physical activity
 Unsuitable office or work equipment for the carrying out of various functions
 Inadequate training (example, manual handing courses and lifting)
 Trips, slips and falls in the workplace due to spillages, dangerous hazards
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 Using heaving vibrating machinery during the course of work can result in significant back injury
(for example drill hammering, jack hammer in to concrete)
We have outlined an employer’s obligations and duty of care towards an employee in order to
prevent workplace injuries and accidents and injuries from occurring. This should give you an
insight as to the type of duties placed on employees and employers which will have an impact on
your workplace compensation claim.
A breach of the Health and Safety at Work Act by the employer may enhance the strength of your
claim and could result in an increase in the amount of compensation available to you. Back
injuries in the workplace can be avoided if the Health and Safety at Work Act is adhered to and
employers are held liable if they fail to adhere to the provisions.
Aggravation of Pre-Existing Conditions in a Personal Injury Lawsuit
As humans age our bodies begin to undergo a complex series of changes. At the cellular level,
cells and tissues simply wear out or are weakened. Our muscle tone declines. Our arteries stiffen.
Starting at age 35, our bones begin to lose density and become more brittle. Once healthy humans
begin to develop physical conditions that have the ability to maniest themselves into some form of
physical disability.
This natural aging process, particularly in regards to the aging process of one's spine, is often
quickly seized upon by insurance company adjusters as evidence that a personal injury client has a
'pre-existing condition.'
A pre-existing condition is physical or mental health condition that the personal injury client had
before the injury-causing incident. Insurance company adjusters use these pre-existing conditions
to justify a low settlement offer to personal injury attorneys. The adjuster supports the low
settlement offer by commonly arguing that should the case go to trial before a jury, the insurance
company's attorneys will introduce the client's medical records and claim that the client's injuries
pre-existed the injury-causing incident.
There are three types of pre-existing conditions:
 Conditions that are present, but do not cause pain prior to the incident
 Conditions that are present, cause pain, and are aggravated by the causing incident
 Conditions that are present, cause pain and exist in the same form post-incident
A client with a pre-existing condition is still entitled to recovery for their damages in cases in
which the injury-causing incident causes new pain or in which a pre-existing injury is aggravated.
Only in cases in which the injury is the same before the incident as it is post-incident should the
client not recover for his or her damages. For example, a motor vehicle collision client who had a
broken, but untreated arm before the collision cannot claim damages for the broken arm post-
collision.
It is important to remember, when dealing with insurance company adjusters, that pre-existing
conditions, such as degenerative disc diseas, can either be symptomatic (showing symptoms, such
as pain) or asymptomatic (having a condition, but without any symptoms, such as pain).
Degenerative disc disease, common in individuals over 40 years of age, is often asymptomatic, but
will often show up in a in X-Ray or CT scan results. Insurance adjusters are quick to seize upon
these results (commonly found in ER medical records) as proof that the personal injury client was
suffering from back or neck pain BEFORE the incident. This often erroneous assumption can be
countered by providing a thorough accounting of the client's medical records which reveal the
client never complained of pain in the years prior to the incident.
Clients who experience weakness as the result of the aging process prior to an injury-causing
incident are still protected by Ohio case law. The legal doctrine behind these favorable court
decisions is called the 'thin-skull rule' or 'eggshell skull' rule. In short, the doctrine means that the

69
negligent party is not entitled to to a credit or reduction in damages because the injured party was
more succeptable to injury.
Clients with pre-existing injuries can still recover for damages that result for injuries that aggravate
their pre-existing pain. Reeg v. Hodgson, 1 Ohio App.2d 272, 278 (4th Dist. 1964). "Aggravation
or acceleration of a pre-existing physical condition in personal injury cases is so well recognized as
a ground for recovery that the citation of authorities is not necessary." Id. Recovery of damages for
aggravation of injuries is permissble because if not for the injury-causing incident, the client would
not be experiencing increased pain.
Armed with medical records, expert medical testimony and a well versed client, an attorney can
successfully move beyond the 'pre-existing condition' trap.
What is Cardiovascular Disease?
Heart and blood vessel disease — also called heart disease — includes numerous problems,
many of which are related to a process called atherosclerosis. Atherosclerosis is a condition that
develops when a substance called plaque builds up in the walls of the arteries. This buildup
narrows the arteries, making it harder for blood to flow through. If a blood clot forms, it can stop
the blood flow. This can cause a heart attack or stroke.
A heart attack occurs when the blood flow to a part of the heart is blocked by a blood clot. If this
clot cuts off the blood flow completely, the part of the heart muscle supplied by that artery begins
to die. Most people survive their first heart attack and return to their normal lives to enjoy many
more years of productive activity. But having a heart attack does mean you have to make some
changes. The doctor will advise you of medications and changes according to how badly the heart
was damaged and what degree of heart disease caused the heart attack. Learn more about heart
attack.
An ischemic stroke (the most common type) happens when a blood vessel that feeds the
brain gets blocked, usually from a blood clot. When the blood supply to a part of the brain is shut
off, brain cells will die. The result will be the inability to carry out some of the previous functions
as before like walking or talking. A hemorrhagic stroke occurs when a blood vessel within the
brain bursts. The most likely cause is uncontrolled hypertension (blood pressure).
Some effects of stroke are permanent if too many brain cells die after a stroke due to lack of blood
and oxygen to the brain. These cells are never replaced. The good news is that some brain cells
don't die — they're only temporarily out of order. Injured cells can repair themselves. Over time,
as the repair takes place, some body functioning improves. Also, other brain cells may take control
of those areas that were injured. In this way, strength may improve, speech may get better and
memory may improve. This recovery process is what rehabilitation is all about. Learn more about
stroke.
Other Types of Cardiovascular Disease
Heart failure: This doesn't mean that the heart stops beating. Heart failure, sometimes
called congestive heart failure, means the heart isn't pumping blood as well as it should. The heart
keeps working, but the body's need for blood and oxygen isn't being met. Heart failure can get
worse if it's not treated. If your loved one has heart failure, it's very important to follow the
doctor's orders. Learn more about heart failure.
Arrhythmia: This is an abnormal rhythm of the heart. There are various types of
arrhythmias. The heart can beat too slow, too fast or irregularly. Bradycardia is when the heart
rate is less than 60 beats per minute. Tachycardia is when the heart rate is more than 100 beats per
minute. An arrhythmia can affect how well the heart works. The heart may not be able to pump
enough blood to meet the body's needs. Learn more about arrhythmia.
Heart valve problems: When heart valves don't open enough to allow the blood to flow through as
it should, it's called stenosis. When the heart valves don't close properly and allow blood to leak
through, it's called regurgitation. When the valve leaflets bulge or prolapse back into the upper

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chamber, it’s a condition called prolapse. Discover more about the roles your heart valves play in
healthy circulation and learn more about heart valve disease.
Who is at risk for heart (cardiovascular) disease?
There are risk factors that increase the potential to develop plaque within coronary arteries and
cause them to narrow. Atherosclerosis (athero=fatty plaque + sclerosis=hardening) is the term that
describes this condition. Factors that put people at increased risk for heart disease are:
 Smoking
 High blood pressure (hypertension)
 High cholesterol
 Diabetes
 Family history of heart problems, especially heart attacks and strokes
 Obesity
Since cardiovascular disease, peripheral artery disease, and stroke share the same risk factors, a
patient who is diagnosed with one of the three has increased risk of having or developing the
others.
What are the signs and symptoms of heart (cardiovascular) disease?
 The classic symptoms of angina, or pain from the heart, are described as a crushing pain or
heaviness in the center of the chest with radiation of the pain to the arm (usually the left) or
jaw. There can be associated shortness of breath sweating and nausea.
 The symptoms tend to be brought on by activity and get better with rest.
 Some people may have indigestion and nausea while others may have upper abdominal,
shoulder, or back pain.
 Unstable angina is the term used to describe symptoms that occur at rest, waken the patient
from sleep, and do not respond quickly to nitroglycerin or rest.
Other heart (cardiovascular) disease symptoms and signs
Not all pain from heart disease have the same signs and symptoms. The more we learn about heart
disease, the more we realize that symptoms can be markedly different in different groups of
people. Women, people who have diabetes, and the elderly may have different pain perceptions
and may complain of overwhelming fatigue and weakness or a change in their ability to perform
routine daily activities like walking, climbing steps, or doing household chores. Some patients may
have no discomfort at all.
Most often, the symptoms of cardiovascular disease become worse over time, as the narrowing of
the affected coronary artery progresses over time and blood flow to that part of the heart decreases.
It may take less activity to cause symptoms to occur and it may take longer for those symptoms to
get better with rest. This change in exercise tolerance is helpful in making the diagnosis.
Often the first signs and symptoms of heart disease may be a heart attack. This can lead to crushing
chest pressure, shortness of breath, sweating, and perhaps sudden cardiac death.
What causes heart (cardiovascular) disease?
Heart or cardiovascular disease is the leading cause of death in the United States and often can be
attributed to the lifestyle factors that increase the risk of atherosclerosis or narrowing of
arteries. Smoking, along with poorly controlled hypertension (high blood pressure), and diabetes,
causes inflammation and irritation of the inner lining of the coronary arteries. Over time,
cholesterol in the bloodstream can collect in the inflamed areas and begin the formation of a
plaque. This plaque can grow and as it does, the diameter of the artery narrows. If the artery
narrows by 40% to 50%, blood flow is decreased enough to potentially cause the symptoms of
angina. In some circumstances, the plaque can rupture or break open, leading to the formation of
a blood clot in the coronary artery. This clot can completely occlude or block the artery. This
prevents oxygen-rich blood from being delivered to the heart muscle beyond that blockage and that
part of the heart muscle begins to die. This is a myocardial infarction or heart attack. If the

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situation is not recognized and treated quickly, the affected part of the muscle cannot be revived. It
dies and is replaced by scar tissue. Long term, this scar tissue decreases the heart's ability to pump
effectively and efficiently and may lead to ischemic cardiomyopathy (ischemic=decreased blood
supply + cardio=heart + myo=muscle + pathy=disease).
Heart muscle that lacks adequate blood supply also becomes irritable and may not conduct
electrical impulses normally. This can lead to abnormal electrical heart rhythms including
ventricular tachycardia and ventricular fibrillation. These are the heart arrhythmias associated with
sudden cardiac death.
What is the treatment for heart (cardiovascular) disease?
The goal of treating cardiovascular disease is to maximize the patient's quantity and quality of life.
Prevention is the key to avoid cardiovascular disease and optimize treatment. Once plaque
formation has begun, it is possible to limit its progression by maintaining a healthy lifestyle with
routine exercise, diet, and by aiming for lifetime control of high blood pressure, high cholesterol,
and diabetes.
What lifestyle changes can a person make to prevent further heart disease or heart attack?
The goal of treating cardiovascular disease is to maximize the person's quantity and quality of life.
Prevention is the key to avoid cardiovascular disease and optimize treatment. Once plaque
formation has begun, it is possible to limit its progression by making these lifestyle changes:
 Maintain a healthy lifestyle with routine exercise
 Quit smoking
 Eat a heart healthy diet such as the Mediterranean Diet.
 Aim for lifetime control of high blood pressure, high cholesterol, and diabetes.
What is the medical treatment for heart (cardiovascular) disease?
 An aspirin may be used for its antiplatelet activity, making platelets (one type of blood
cells that help blood clot) less sticky and decreasing the risk of heart attack. The decision to
use aspirin routinely depends upon whether other risk factors for heart disease are present.
 Medications may be prescribed in patients with heart disease to maximize blood flow to the
heart and increase efficiency of the pumping function of the heart.
 Beta blocker medications help block the action of adrenaline on the heart, slowing the heart
rate. These medications also help the heart beat more efficiently and decrease the oxygen
requirements of the heart muscle during work.
 Calcium channel blockers also help the heart muscle contract and pump more efficiently.
 Nitrates help dilate arteries and increase blood flow to the heart muscle. They may be
short-acting (Nitrostat) to treat acute angina symptoms or long-acting preparations (Imdur)
may be prescribed for prevention.
 Should there be significant stenosis or narrowing of the coronary arteries, angioplasty
and/or stenting (described above) may be considered to open the blocked areas. These
procedures are performed in conjunction with cardiac catheterization. Depending upon the
patient's anatomy and the extent of the blockage present, graft surgery (CABG) may be
required.
 If a stent is placed, other antiplatelet medications like clopidogrel (Palvix) may be
prescribed.

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 Chapter 4
Hazard & Risk Identification Techniques:
Hazard and Risk Analysis :
Definition of a hazard
A hazard is simply a condition or a set of circumstances that present a potential for harm. Hazards
are divided into two broad categories:
• Health hazards (cause occupational illnesses)
• Safety Hazards (cause physical harm - injuries)
Hazard Identification
Hazard identification is the process of identifying all hazards in the workplace. There is no set
method for grouping agricultural injury and illness hazards. Most production agriculture hazards
overlap into different hazard categories. One way to group them would be by major hazards listed
in the OSHA.
Dairy Local Emphasis Program:
• Manure storage facilities and collections structures
• Dairy bull and cow behavior/worker positioning
• Electrical systems
• Skid-steer loader operation
• Tractor operation
• Guarding of power take-offs (PTOs)
• Guarding of other power transmission and functional components
• Hazardous energy control while performing servicing and maintenance on equipment
• Hazard communication
• Confined spaces
• Horizontal bunker silos
• Noise
Hazards may be identified in:
 Environments (light, noise, rain, heat, sun)
 Substances (pesticides, fuels, dusts)
 Workplace layout (parlor designs, cattle passes)
 Work organization (unnecessary manual handling)
 Equipment (ladders, squeeze chutes, crowd gates)
 Farm animals (that bite, kick, butt, crush, toss, infect)
 Heights (roofs, vertical and horizontal silos, manure pits)
 Electricity (switches, cables, leads, power tools, connections)

Hazards may be identified by:

 Observation - use your senses of sight, hearing, smell and touch - combined with
knowledge and experience. Material Safety Data Sheets (MSDSs) - obtain them from
manufacturers and suppliers. Read them carefully to identify possible harm from hazardous
substances and precautions that need to be taken.

73
  Hazard and risk surveys - conduct hazard spotting surveys of main work areas. Talk to
others about their safety concerns.
 Children and visitors - include in your surveys areas and activities in which children or
visitors could be at risk.
 Record analysis - keep records of identified hazards, near misses, injuries and workers'
compensation claims to help identify possible trends.
 Discussion groups - are useful for identifying hazards and recommending solutions.
 Safety audits - consider creating a safety committee to investigate safety and help prepare a
management plan.
 Information - keep informed of hazards in the industry through the latest available
information.
 Consumer information - carefully read and follow consumer guidelines on equipment and
substances.
 Regulations and best practices
 Assess the Risk Once a hazard has been identified, the likelihood and possible severity of
injury or harm will need to be assessed before determining how best to minimize the risk.
High risk hazards will need to be addressed more urgently than low risk situations. You
may decide that the same hazard could lead to several different possible outcomes. For
each hazard consider how likely each possible outcome is, and record the highest priority.
Make the changes
Consider the following control measures, listed in order of importance:
a) Remove the hazard at the source - e.g. get rid of it or replace it.
b) Substitute it with something less hazardous.
c) Isolate the hazardous process, item or substance from people.
d) Add engineering controls, such as safety barriers or exhaust ventilation.
e) Adopt safe work procedures, training and supervision to minimize the risk.
f) Where other means are not sufficient or practicable, provide personal protective equipment.
g) Implement and monitor the controls you decide upon. One or more of the controls
recommended above should beagreed upon and the changes made as soon as possible before the
hazard causes an injury. Sometimes it will require more than one of the risk control measures
above to effectively reduce exposure to hazards.
Checking the changes
To make sure risk has been minimized, and a further hazard has not been created, the new safety
measures may need to be carefully tested before work begins again. Consultation between the
employer and others at the workplace will help to reach a safe decision. In some cases, a new set of
safe work procedures may be necessary, possibly even another period of training and supervision,
until the improvement can be shown to be working safely. Safety improvements should be
reviewed periodically, to make sure they continue to be effective.

The HIRA Process:

There are four steps to create and maintain a HIRA:
1) Hazard Identification - In this step the hazards that could impact your community are separated
from those that cannot. This requires a review of all hazards and their causes to determine whether
74
they may be a threat to your community. This may require the consultation of the scientific
community, historical records and government agencies.
2) Risk Assessment - In this step the level of risk for each hazard is examined. This may involve
speaking with hazard experts, researching past occurrences and possible scenarios. The likelihood
of the hazard occurring and the potential impacts of the hazard on people, property, the
environment, business and finance and critical infrastructure should be examined.
3) Risk Analysis - The information collected in the risk assessment step will be analyzed in this
step. The desired outcome of the risk analysis is the ranking of the hazards. This highlights the
hazards that should be considered a current priority for your emergency management program.
4) Monitor and Review - It is important to remember that a HIRA is an ongoing process and
hazards and their associated risks must be monitored and reviewed.
Failure Mode and Effect Analysis (FMEA):
This procedure considers each component of a plant in turn and all possible failure modes and rates
and their consequences. The results are recorded in a standard format. HAZOP study is a well-developed
form of FMEA.
It is a process of hazard identification where all known failure modes of components or features of
a system are considered in turn and undesired outcomes are noted.
It is a tabulation of system/plant equipment failure modes. -Each failure mode assigns critical
ranking. Human error/ operational error is not generally examined in FMEA.
This is the method derived from reliability engineering. A product or a piece of complex equipment
is divided in its components and each component is studied to know how it can fail, at what rate and what
could be the effect on it or on the other components. Failure rates of each item are determined and listed.
The method is used to determine satisfactory operational life of an equipment, how failures might occur,
modes and frequencies of failure and the necessity for proper and timely maintenance and replacements.
This knowledge can be used to improve the life and quality of the product. Thus it is primarily more useful
to a manufacturer than its user.
FMEA has its own limitations. Data of failure rates and calculations for failure frequency must be
correct. The method cannot analyse the problems created by bad design, adverse environment and operators'
errors.
FMEA consists of imaginatively Constructing every conceivable situation that could arise with the
component, including its designed failure point (life expectancy) and its effect on related components.
Considerable imagination with much experience is needed to foresee how a component of the system can
cause an unwanted occurrence.

Failure Effect Analysis can be tabulated as under:

Item No. Assumed Failure Possible Causes Symptoms Consequences
1 2 3 4 5

Compensating Effect on Probability of Failure Remarks

provision occurrence classification
6 7 8 9 10

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 In above table, compensating provision identifies what should be done to avoid the consequence of
the assumed failure.Probability of occurrence is the average elapsed operating time before a failure of the
assumed type will occur.
Probability of occurrence can be expressed in terms of average time between failures as under :
Probable : 1 failure before 10000 hours of operation.

Reasonably Probable : 1 failure during 10001 to 100000 hours of operation.

Remote : 1 failure during 100001 to 10 million hours of operation

Extremely remote : 1 failure after 10 million hours of operation

Failure frequency data is difficult to obtain. It is obtained from two types of testing of component
i.e. performance test or reliability test.
Failure classification distinguishes between the possible effects of the assumed failure. A four-part
classification is safe, marginal, critical and catastrophic indicating increasing severity.

Maximum Credible Accident Assessment (MCAA):

See Part 3.100 of Chapter-2 for definition.
MCA means maximum credible accident i.e. an accident with a maximum reasonable damage
distance possibility.
MCAA means maximum credible accident analysis or assessment. Here probability of accident
occurrence is not calculated but the probability of maximum damaging effect (potential and distance) is
calculated to assess injury to people or/and properties in the surrounding area.
Hazard potentiality is considered by (1) Type of material stored/processed (toxicity, flammability
etc.) (2) Quantity of the material (it affects distance) (3) Process or storage conditions (temperature,
pressure, flow etc.) (4) Location of the unit or activity with respect to adjacent population.
Based on above factors, units/activities are selected, accident scenarios established and effect
(domino or cascade) and damage calculations are carried out.
Following steps are employed in MCAA :
 Chemical Inventory Analysis.  Effect and damage calculations
 Identification of hazardous for the primary events'
processes in individual units.  Analysis of past accidents of
 Identification of chemical similar nature.
release and accident scenarios.  Short listing of maximum
 Data acquisition for MCAA. credible accident scenarios

These steps are explained below in brief:

The chemical inventory is to be identified by MSIHC Rules or Rule 68 J of the Gujarat Factories
Rules (see Part 10.8 of Chapter-28), short listed and prioritised on the basis of hazard potential. The
chemicals are generally classified as non-boiling and boiling liquids, gases/vapours and solids.
Fault Tree Analysis (FTA):
It is a method to represent the logical combinations of various systems which lead to a
particular outcome (top event).
It is a graphic model that determines various combinations of equipment faults and failures that
can result in an accident.
This is a sophisticated form of reliability assessment and it requires considerable time and skill.
The procedure is to start from a selected undesirable top event such as 'gas coming out of a scrubber' and
then trace it back to the combination of faults and conditions which could cause the events to occur. Apart
76
from identification of hazards, it is widely used for quantitative risk analysis. It will be necessary to obtain
meaningful failure data of each component to arrive at the frequency of occurrence of the 'top event'.
In fault tree analysis, abnormal operations are assumed in normal operations of a plant. The
ultimate abnormal event (such as gas leakage) is shown in a rectangle at the top. Then all combinations of
individual failures that can lead to that abnormal event are shown in the logical format of the Fault Tree.
By estimating the individual failure probabilities and then using the appropriate arithmetical expressions,
the probability of the top abnormal event can be calculated or predicted. This Fault Tree Analysis makes it
easy to investigate the impact of alternative preventive measures. Fault tree is developed from top to
bottom through a series of symbols which define the flow of logic from the base causes of an event itself.
Detailed' probability data are most desirable.
This method of Fault Tree Analysis was developed by Bell Laboratories (USA) in 1961 to predict
potential catastrophic events which could occur with the Air Force. It is more useful to assess chemical
hazards.
Without specific Fault Tree symbols (symbology), a schematic diagram of one top event
(possibility of fire) is shown below.

Some sample top events for Fault Tree Analysis are

1. Injury to
2. Damage to from
3. Explosion of
4. Loss of control of
5. Rupture of
6. Loss of pressure in
7. Overpressurisation of
8. Unscheduled release of
9. Collapse of
10. Overheating of
11. Uncontrolled venting of
12. Inadvertent start of etc.
A computer is much useful to carry out mathematical Fault Tree calculations using Boolean
algebra.
Event Tree Analysis (ETA):
Event tree analysis is a method to illustrate the intermediate and final outcomes which may arise
after the occurrence of a selected initial event.
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 This technique is complementary to Fault Tree, but in reversed direction. Whereas a fault tree
starts from a final event and works from the top down, an Event Tree begins with an initial event such as a
power failure and explores all possible outcomes by working from the bottom up. An illustration is shown
below, for an initial event of release of flammable gas.

ETA identifies the sequences of events following an initiating event that results in accident. Event
tree considers operator response or safety system response to the initiating event in determining the
potential sequence.
Some sample initial (bottom) events for Event Tree Analysis are :
1. Failure of pump of
2. Failure of stirring of
3. Failure of water/cooling media/heating media in
4. Stoppage of motor at
5. Mistake of
Hazard and 0perability ( HAZOP) Study:
HAZOP is defined as 'The application of a formal systematic critical examination to the
process and engineering intentions of the facilities to assess the hazard potential of mal-operation
or malfunction of individual items of equipment and the consequential effects on the facility as a
whole'.
In HAZOP a multidisciplinary team searches deviations from design intent through fixed
sets of guide words or checklists or knowledge.
HAZOP can be conducted to check the designs or operating procedures for a new project
or an existing one. It can also be conducted to improve safety of existing facilities. 'It is also
useful before implementing significant modifications or for other operational or legal reasons.
After carrying out the Preliminary Hazard Analysis (PHA) as explained earlier, the plant
component, system or machine/ equipment part which can cause 'major hazard' becomes known
to us. Now to find out deviations or malfunctions leading to such event and its mode of operation,
HAZOP helps us. Thus HAZOP is complimentary to PHA.
HAZOP study is carried out to determine deviations from normal operation and
operational malfunctions which could lead to uncontrolled events.

78
 Although the HAZOP study was developed to supplement experience-based practices
when a new design or technology is involved, its use has expanded to almost all phases of a
plant's life. It is based on the principle that several experts with different backgrounds can interact
and identify more problems when working together then when working separately and combining
their results.
Therefore HAZOP study is performed by a multidisciplinary expert group always
including workers familiar with the installation.
The examination procedure takes a full description of the process, systematically
questions every part of it to discover how deviations from the intention of design can occur and
decides whether these deviations can give rise to hazard.
Each part of design is analysed with questions formulated around a number of guide
words, which ensure that the question posed to test the integrity of each part of design will
explore every conceivable way in which that design could deviate from design intention and then
each deviation is considered for what the consequences it could lead to. The potential hazards are
noted for remedial action. Trivial or meaningless consequences are dropped out.
Stages at which HAZOP can be carried out are
1. At an early stage of development to decide the site and identify major hazards.
2. At design freeze stage i.e. when design is completed and construction is to be started.
3. At pre-start-up stage i.e. when construction is completed and the operation is to be
started.
4. Studies on existing plants.
5. Studies prior to plant modification.
6. Studies prior to taking a plant, out of service.
7. Studies on research facilities.
Procedure for HAZOP study follows the sequence(1) Define objective and scope (2)
Select the team (3) Prepare for the study (4) Carry out the examination (5) Follow up and (6)
Record the results.
The objectives may be (1) to check a design (2) to decide whether and where to build (3)
to decide whether to buy an equipment (4) to obtain a list of questions to put to a supplier (5) to
check running instructions and (6) to improve the safety of existing facilities etc.
The team may be composed of Mechanical Engineer, Chemical Engineer, R & D Chemist,
Production Manager, Project Manager, Instrument/ Electrical Engineers, Civil Engineer etc. The
team should not be too large. The team is headed by an experienced specialist from works
management or by a specially trained consultant.
After examining one part of the design and recording potential hazards if any, the study
proceeds to examine the next part of the design and it is repeated until the whole plant has been
studied.
The Preparative Work includes four stages (1) Obtain the data (2) Convert the data into a
suitable form (3) Plan the sequence for the study and (4) Arrange the necessary meetings.
After discovery of a hazard, follow-up action becomes necessary. There may be a number
of possible actions. Generally they are of four types :
 Change in the process (material, recipe etc.).
 Change in process conditions (pressure, temperature, flow etc.).

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  Alteration to the physical design including safety guarding.
 Change of operating methods.
While choosing between such possible actions, two categories become relevant :
 Those actions which remove the cause of hazard.
 Those actions which reduce the consequences.
Obviously the first category is first preferable. But then the study should be carried out at
design stage to execute it at the minimum cost and better integrity.
Suppose the hazard is 'sudden evolution of gas and pressure due to it'. For this, four
actions are possible -
 Change the material to eliminate the possibility of gas generation.
 Change the process condition (e.g. Cooling, catalyst, low temperature,
temperature control and Cut off etc.) to control the gas generation.
 Provide safety valve/rupture disc and vent for safe discharge.
 Provide personal protective equipment.
Action-I is 100% effective and should be die first choice. Action-2 may be selected, if
Action-1 is not possible and reliability of the control system is good. Action-3 may be selected, if
Action-2 is not possible and effective only if the vent and dump-vessel can be designed to cope
with the full discharge. Action-4 is the last resort if Action-I, 2, 3 are not possible or not effective.
Recording needs 'hazard file' containing
1. Copy of the data as under:.
 Process description, process flow diagram, material and enthalpy balances.
 Piping and instrumentation diagrams.
 Process equipment layouts - plan, elevation and section.
 Operating manual.
 Safety manual.
 Vendor information (P & I diagrams).
 Equipment specification sheets.
 Piping specifications.
 Plot plan.
 MSDS for materials.
 Any reports on safety reviews.
 Copies of such documents should be marked by the team leader slating that they
are examined.
2. Copy of all the working papers, questions, recommendations, redesigns etc.
produced by the team and others as a result of the study.
The file should be retained on the plant and a report be prepared for the guidance of the
managers.

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 Guidewords used in HAZOP are given below.
A List of some Guide Words

Guide Words Meanings Comments

No part of the intentions is achieved but

NO or NOT The complete negation of these intentions
nothing else happens.
These refer to quantities + properties
MORE such as flow rates and temperatures as
Quantitative increases or decreases
LESS well as activities like ‘HEAT’ and
‘REACT’.
All the design and operating intentions
A qualitative increase
are achieved together with some
AS WELL AS
additional activity.
PART OF A qualitative decrease
Only some of the intentions are achieved;
some are not.
This is mostly applicable to activities, for
example reverse flow or chemical
reaction. It can also be applied to
The logical opposite of the intention substances, e.g. ‘POISON’ instead of
REVERSE
‘ANTIDOTE’ or ‘D” instead of ‘L’
OTHER THAN
Complete substitution optical isomers.
No part of the original intention is
achieved. Something quite different
happens.

A Sequence of Study proceeds as follows.

Sequence of HAZOP Examination

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 Various methods for HAZOP studies are described by DOW Safety Guide, HAZOP studies by
ICI, by Chemical Industry Safety and Health Council (CISHC), by Kletz, Gibbsen, Lawley and other
experts. The basis of studies may be a word model, a process flow sheet, a plant layout, fault free
technique etc.
Incident Recall Technique:
This method is based on collecting information on hazards, near-misses, unsafe conditions and
unsafe actions from working people. It can be used to investigate man-machine relationship and to
improve equipment and operations. The technique consists of interviewing personnel regarding
involvement in accidents or near-misses, errors, mistakes, difficulties and conditions which may cause
accident. It accomplishes the same result as an accident investigation. Even isolated incidents reported by
the technique can be investigated to determine whether corrective action is necessary or advantageous.
Plant people should be given accident case studies for reading and thinking. Then their memory
should be recalled to know their understanding and further suggestions if any.
Critical Incident Review Technique:
The Critical Incident Technique by W.E. Tarrants, is a method of identifying or reviewing
potential accident causes by collecting information on unsafe conditions and actions, near-misses, hazards
etc. from experienced plant personnel. It can be used to study man-machine operational relationship and to
use the information to improve equipment, operations and procedures.

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 An' experienced reviewer or surveyor first explains to key personnel what he wants to know. Then
he asks each worker individually questions on safety matters. Workers' involvement in accidents, near
misses, mistakes, errors, difficulties in performance and probable causes of accidents are thoroughly
discussed. Their comments including preventive measures are also asked.
It has been estimated that for every mishap there are at least 400 near-misses. Information on
possible accident causes can be obtained from participants of accidents and non-participants but having
knowledge.
When interviews report similar difficulties, hazards or near misses with similar types of operation
or equipment, it indicates an area to be investigated and results of investigation can suggest the remedial
measures necessary.
Overview
MORT Technique is developed by Bill Johnson in 1970’s in US Department of Energy (at the
time of Atomic Energy Commission) for logical Analysis of Accident with the involvement of
Management. MORT is Tree-based Methodology. MORT Analysi s includes Data collection based on
Checklist & their associated Questions, in addition to evaluation Results. The information can be collected
from Interviews, Studies of Documents & Investigations. MORT chart contains approximately 1500 items
arranged into a large/complex fault tree
Primarily used for accident investigation
Purpose of MORT
To provide a systematic tool to aid in planning, organizing, and conducting detailed accident
investigation & Near misses to identify those specific that are LTA and need to be corrected to prevention
the accident from recurring.
Can also be used for inspection, audit & Planning of Safety Measures.
Abbreviations used
LTA - “less than adequate”
DN - “did not”
FT - “failed to”
HAP - “hazard analysis process”
JSA - “job safety analysis”
CS&R - “codes standards and regulations”
Symbols used in MORT are similar to that of Fault Tree Analysis Symbols
Event s Symbols
Event Symbols
Logic Gates

Transfers

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 Definition
Accepted or Assumed Risk - Very specific risk that has been identified, analyzed, quantified to the
maximum practical degree, and accepted by the appropriate level of management after proper thought and
evaluation. Losses from Assumed Risks are normally those associated with earthquakes, tornados,
hurricanes, and other acts of nature.
Amelioration - Post-accident actions such as medical services, fire fighting, rescue efforts, and
public relations.
Advantage
It aids the accident investigator by identifying root causes of the accident.
Provides a systematic method of evaluating the specific control and management factors that
caused or contributed to the accident.
Serve as planning and organizational tool for the collection of evidence and other relevant
information.
Disadvantage
Extremely time consuming and tedious when learning about and first using the MORT chart.
This approach would be classified as overkill for most accidents.
Input Requirements : required regarding
 Hardware
 Facilities
 Environment
 Policies & Procedures
 Personnel
 Implementation plans
 Risk assessment programs
 Project documents, etc...
General Approach
MORT analysis effort begins immediately after the accident occurs.
Performed by a trained investigator.
MORT chart is used as a working tool to aid in the gathering and storage of information.
General method for working through the chart is from known to unknown.
The top of the chart is typically addressed very early in the investigation.

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 Colour Coding:
RED LTA
GREE O.K
NEED MORE
BLUE
INFORMATION
BLACK BLACK
Policy LTA - Not typically a problem with major organizations.
Implementation - Need be sure the policy is actually implemented and not just a “paper policy.”
Risk Assessment System - Need to ensure that risks are properly identified, evaluated, and
reported to management. Oversights or omissions can also be a problem in this area.
Safety Integrity Level
Safety Integrity Level (SIL) is defined as a relative level of risk-reduction provided by a safety
function, or to specify a target level of risk reduction. In simple terms, SIL is a measurement of
performance required for a Safety Instrumented Function (SIF).
The requirements for a given SIL are not consistent among all of the functional safety standards.
In the European Functional Safety standards based on the IEC 61508 standard four SILs are defined, with
SIL 4 being the most dependable and SIL 1 being the least. A SIL is determined based on a number of
quantitative factors in combination with qualitative factors such as development process and safety life
cycle management.
Contents
 SIL Assignment
 Problems with the use of SIL
 Advantages for Managers
 Certification to a Safety Integrity Level
 SIL in Safety Standards
SIL Assignment
There are several methods used to assign a SIL. These are normally used in combination, and may include:
 Risk Matrices
 Risk Graphs
 Layers Of Protection Analysis (LOPA)
The assignment may be tested using both pragmatic and controllability approaches, applying
guidance on SIL assignment published by the UK HSE.[1] SIL assignment processes that use the HSE
guidance to ratify assignments developed from Risk Matrices have been certified to meet IEC EN 61508
Problems with the use of SIL
 There are several problems inherent in the use of Safety Integrity Levels. These can be
summarized as follows:
 Poor harmonization of definition across the different standards bodies which utilize SIL
 Process-oriented metrics for derivation of SIL
 Estimation of SIL based on reliability estimates
 System complexity, particularly in software systems, making SIL estimation difficult to
impossible
These lead to such erroneous statements as, "This system is a SIL N system because the process
adopted during its development was the standard process for the development of a SIL N system", or use
of the SIL concept out of context such as, "This is a SIL 3 heat exchanger" or "This software is SIL 2".
According to IEC 61508, the SIL concept must be related to the dangerous failure rate of a system, not just
85
its failure rate or the failure rate of a component part, such as the software. Definition of the dangerous
failure modes by safety analysis is intrinsic to the proper determination of the failure rate.[2]
SIL is for electrical controls only and does not relate directly to the caT architecture in EN 62061.
It appears to be a precursor to PL ratings that are now the new requirements which encompass hydraulic
and pneumatic valves.[citation needed]
It is sometimes assumed that the 'S' in SIL refers to software but the failure rate of the software
component of a system is merely a contribution to the overall SIL level of the system as a whole.
Advantages for Managers
 Because SIL has a simple number scheme to represent its levels (1-4),
 a high-level understanding of each level is typically all that is necessary to convey SIL at
management levels.
 saves management from having to understand the technical aspects of SIL, while allowing them
to discuss their concerns.
Certification to a Safety Integrity Level
The International Electro technical Commission's (IEC) standard IEC 61508, now IEC EN 61508,
defines SIL using requirements grouped into two broad categories: hardware safety integrity and
systematic safety integrity. A device or system must meet the requirements for both categories to achieve a
given SIL.
The SIL requirements for hardware safety integrity are based on a probabilistic analysis of the
device. To achieve a given SIL, the device must meet targets for the maximum probability of dangerous
failure and a minimum Safe Failure Fraction. The concept of 'dangerous failure' must be rigorously defined
for the system in question, normally in the form of requirement constraints whose integrity is verified
throughout system development. The actual targets required vary depending on the likelihood of a demand,
the complexity of the device(s), and types of redundancy used.
PFD (Probability of Failure on Demand) and RRF (Risk Reduction Factor) of low demand
operation for different SILs as defined in IEC EN 61508 are as follows:
SIL PFD PFD (power) RRF
1 0.1-0.01 10−1 - 10−2 10-100
2 0.01-0.001 10−2 - 10−3 100-1000

3 0.001-0.0001 10−3 - 10−4 1000-10,000

4 0.0001-0.00001 10−4 - 10−5 10,000-100,000

For continuous operation, these change to the following. (Probability of Failure per Hour)

SIL PFH PFH (power) RRF

1 0.00001-0.000001 10−5 - 10−6 100,000-1,000,000

2 0.000001-0.0000001 10−6 - 10−7 1,000,000-10,000,000

3 0.0000001-0.00000001 10−7 - 10−8 10,000,000-100,000,000

4 0.00000001-0.000000001 10−8 - 10−9 100,000,000-1,000,000,000

Hazards of a control system must be identified then analysed through risk analysis. Mitigation of
these risks continues until their overall contribution to the hazard are considered acceptable. The tolerable
86
level of these risks is specified as a safety requirement in the form of a target 'probability of a dangerous
failure' in a given period of time, stated as a discrete SIL.
Certification schemes are used to establish whether a device meets a particular SIL.[3] The
requirements of these schemes can be met either by establishing a rigorous development process, or by
establishing that the device has sufficient operating history to argue that it has been proven in use.
Electric and electronic devices can be certified for use in Functional Safety applications according
to IEC 61508, providing application developers the evidence required to demonstrate that the application
including the device is also compliant. IEC 61511 is an application-specific adaptation of IEC 61508 for
the Process Industry sector. This standard is used in the petrochemical and hazardous chemical industries,
among others.
SIL in Safety Standards
 The following standards use SIL as a measure of reliability and/or risk reduction.
 ANSI/ISA S84 (Functional safety of safety instrumented systems for the process industry sector)
 IEC EN 61508 (Functional safety of electrical/electronic/programmable electronic safety related
systems)
 IEC 61511 (Safety instrumented systems for the process industry sector)
 IEC 62061 (Safety of machinery)
 EN 50128 (Railway applications - Software for railway control and protection)
 EN 50129 (Railway applications - Safety related electronic systems for signalling
 EN 50402 (Fixed gas detection systems)
 MISRA, various (Guidelines for safety analysis, modelling, and programming in automotive
applications)
 Defense Standard 00-56 Issue 2 - accident consequence
 The use of a SIL in specific safety standards may apply different number sequences or definitions
to those in IEC EN 61508.

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 Chapter 5
Major Accident Hazards (MAH) Control System:
Major Accident Control:
MAH Definition:
Major hazard means that hazard which arises because of (1) the hazardous nature of the
substance and (2) its storage quantity equals or exceeds the threshold quantity prescribed in
MSIHC Rules 1989.

Major hazard is due to isolated storage or industrial activity that has the potential to cause
extensive damage to men, materials or environment within or outside the site boundary.
Role of the Government Authorities:
1. In controlling major industrial hazards and accidents, the Government authorities have an
important role to play as Under
2. To enact, implement and amend the law on major hazard control.
3. To require statutory information from industries to identify them as MAH installations (sites
& isolated storage), in the form of Safety Report, onsite emergency plan and other relevant
information.
4. To compile nation-wide data of MAH units from state-wise and district-wise with the lists of
MAH factories, isolated storages, hazardous chemicals involved in such units, their quantities,
types and consequences of hazards and area- wise contingency (emergency action) plans.
5. To publish and circulate useful information for the MAH management, their workers and the
general public. This should include the role of different agencies and the public and
information on medical help and antidotes.
6. To set up the Crisis Alert System as provided by rule 4 of the Chemical Accidents
(Emergency Planning, Preparedness and Response) Rules 1996. See Part 10.10 of Chapter-28.
7.To establish and maintain uptodate an inventory of MAH units based on the Safety Reports
received and location of the units in relation to populated areas.
8. To inspect the MAH units based on safety reports and on-site emergency plans received to
check the correctness and effectiveness of the safety arrangements provided. To give direction
for further action if necessary.
9. To draw up an off-site emergency plan (by local authorities) after consultation with the MAH
units and agencies like fire brigade, police, hospitals and ambulance, transport, telephone etc.
Budget and arrangements to train participants and public and carry out rehearsals should be
made.

88
 10. To make and implement siting policy to separate MAH units from other units and
population.
11. To acquire for self, expertise by establishing a group of experts, to prepare checklists to
evaluate plant safety measures and to develop inspection systems and programmes for the use
of Factory Inspectorates.
Role of the Management
1. Under the Manufacture, Storage and Import of Hazardous Chemicals Rules, 1989 the general
responsibilities of management of any MAH unit are to
2. Provide information to the authorities, of criteria, quantities and processes of hazardous
substances to identify the unit as an MAH unit. See Rule 4 & 7, and Sch. 7 &: 9 for
notification of site and MSDS.
3. Carry out Safety Audit and Risk Assessment and collection, development and dissemination
of information as mentioned-in Rule 17 and Sch. 8 to 12. Submit Safety Report and Safety
Audit Report.
4. Report to the authorities the results of the hazard/ risk assessment in the prescribed formats
e.g. Safety Report in Sch. 8, MSDS in Sch. 9, Information of imported chemicals in Sch. 10,
Onsite Emergency Plan in Sch. II and information required by the authority to prepare Off-site
Emergency Plan in Sch. 12. This plan is to be rehearsed once in a year.
5. Set up an emergency plan i.e. on-site and off-site emergency plan based on the guidelines
from Factory Inspectorate. See Sch. II & 12.
6. Take all necessary safety measures to prevent major accidents and to limit their consequences
to persons and environment, provide to the workers with information, training and equipment
including antidotes necessary to ensure their safety as mentioned in Rule 4. This is the main
responsibility to operate and maintain the plant safety and to mitigate consequences .of the
accident. See Fig. 19.1 for Major Hazard Protection Equipment & Stickers. They should be
used and displayed.

Update the information following changes in the threshold quantity, other hazards and safety
report as mentioned in Rule 8 and 11.
Give information to the public liable to be affected by a major accident as mentioned in Rule 15.
Notify within 48 hours, to the concerned authority mentioned in Sch. 5, a report of major accident
occurred on site in the Sch. 6. See Rule 5.
Inform the concerned authority (mentioned in Sch. 5), before 30 days, the particulars mentioned
in Rule 18, regarding import of hazardous chemicals. The records of imported hazardous
chemicals shall be maintained in Sch. 10
89
Local Authorities:
Welfare, Restoration and Resumption Team (WRT) :
At the time of disaster many people may be badly affected. Injured people shall be treated by
MAHT but those not injured but displaced, kept at assembly points, dead, those whose relative or
property is lost, houses collapsed and in need of any kind of help due to disaster shall be treated
by this WRT. Therefore the officers of such departments and welfare institutions arc included
here
Functions and duties of this team should be :
1. To find out persons in need of human help owing to the disastrous effect. They may give First-
aid from doctors. They will serve the evacuated people kept at assembly points. They will
arrange for their food, water, shelter, clothing, sanitation, cleaning up the area, washing, urinals,
latrines, bedding, lighting, vehicles or guidance to reach to railway or bus stations, hospitals and
other needful or useful places; for removal and disposal of dead bodies, for help to sick, weak,
children and needy persons for their essential requirements etc.
2. The team will also work for restoration of detached people, lost articles, essential commodities
etc. The team will also look after the restoration of government articles. Such help may last for
some time even after the disaster is over.
3. The team will also ensure that original activities, services and systems are resumed again as
they were functioning before the disaster. This is the last activity of this Disaster Planning. The
operation/execution of this Plan will be stopped only when this team certifies that the disaster is
over and it is verified that all possible activities and services have restarted or resumed and the
public life is safe and normal. The team will decide the details for this purpose and will work
out a plan of check points. The plan will be approved by the DCC.
4. In carrying out above functions, help will also be taken from various social and voluntary
organisations like Red Cross Society, Scout, NCC, Homeguards, Rotary Club, Lions Club,
Sports Club, Junior Chambers, Youth Hostels, and so many servicing societies, unions and
associations.
5. On receiving information of disaster from the Chairman, the Secretary or team leader will
inform all members and organisations to reach to the spot. He will systematically organise and
coordinate their work so that no overcrowding, overlapping, duplication or deficiency is
noticed.
6. This team will arrange its own vehicles or vehicles of above organisations. Volunteers of
different organisations may use their own vehicles. If the vehicles kept for other teams to this
Plan are free or permitted, they may be used in exceptional cases.
7. The WRT will work under the supervision of its secretary who will report to the Chairman for
work being done and further help if necessary.
8. Social and Voluntary Organisations : The names, addresses, telephone numbers of members and
type of help available from such organisations etc. are to be kept ready.
Press, Publicity and Public Relations Team (PPPT)
The public has right to know about the disaster and the steps being taken to control it. This should
be clone through proper channel so that correct information can be given and hearsay or distorted
and exaggerated stories do not spread. For this purpose and others this team is formed. Director of

90
Information should be the secretary or team leader and some elected members should also be
included for public relations. The team may co-opt more members with the approval of the DCC.
Functions and duties of this team should be :
1. On hearing from the chairman about disaster, die secretary will form a cell in his office for
disaster news. He will consult the Chairman about the policy of the news and will follow it
strictly.
2. Periodical press-notes will be prepared and given to the news-men, news-agencies, radio.
Television etc.
3. The members of the team shall meet frequently for co-operation and good public relations. .
4. Only correct and requisite news shall be given and panic, rumours, hearsay and wrong
stories shall be ruled out.
5. All work regarding listing of dead, publishing their number or names if necessary and
keeping their record will be done by this team. The family members of the deceased shall
be informed.
6. The mediamen may be brought to the area affected or area of work but they will not be
permitted to go where safety does not permit.
7. With the help of MP, MLA, Presidents of District Panchayat, Municipalities and other local
bodies, respectful leaders and representatives of the people, good public relations shall be
maintained for peace, harmony and co-operation from all sides.
8. The committee will also prepare the reports to be sent to the Government.
9. A record shall be prepared and maintained about all facts starting with the disaster till the
final resumption of situation. All facts, causes of disaster, account of works done, remedial
measures and important aspects shall be preserved as a record.
10. Public will be informed about the start and the end of the disaster with the help of vehicles
and instruments.
Vehicles and Public Warning Instruments: A list of all government vehicles immediately
available at the call of the Collector are listed here with their departments, phones, addresses etc.
Instruments like loud-speaker, walky-talky, cell-phones etc. should be listed. These vehicles and
instruments shall be used to give information and instruction to the public. Mostly they shall carry
government officers, mediamen, press-reporters, etc. moving for the purpose of the cooperation
and co-ordination of all control measures. The PPPT may revise this list for more details and will
keep it up-to-date for its functions.
All eight teams classified and described above are important for their valuable functions. A
rehearsal shall be carried out to check the usefulness and efficiency of their working and to
increase their confidence and experience for such collective work.
Role of the 'Mutual Aid' Agencies:
Various types of mutual aid available from the surrounding factories and other agencies should be
utilised, as per need, as a part of the on-site and offsite emergency plan.
Trained staff, equipment, instruments, materials, vehicles, doctors etc., can be available from
nearby factories. Agreement with them may be expressed or implied.
Role of the Factory Inspectorate :
The Factory Inspectors are likely to want to satisfy themselves that the organisation responsible
for producing the on-site plan has made adequate arrangements for handling emergencies of all

91
types, including major emergencies. They may wish to see well-documented procedures and
evidence of exercises undertaken to test the plan.
In the event of an accident, the Factory Inspector will assist the District Emergency Authority
(Collector) for information and help in getting mutual aid from surrounding factories.
Role of the Public:
1. The public has to play their role as under :
2. They should know their role at the time of off-site emergency affecting them. They should
attend meeting for this purpose with the authorities and the factory management and to clarify
their doubts and duties.
3. At the time of off-site emergency they should follow the instructions for them regarding their
staying in houses or be prepared for evacuation. They should not make panic or frighten
others by misguiding or spreading false information.
4. The injured people should take immediate medical help or antidotes suggested by the
doctors.
5. The public should give full co-operation in emergency activities entrusted to them by the
authorities e.g. traffic control, helping sick and handicapped persons etc.
6. They should not cause obstructions, hindrances or difficulties at the time of emergencies.
They should give correct information to the authorities.
MAH Control System: Local Control System
1. Role of Industrial Management:
In controlling major accident hazards
 Technical Control measures:
MAH units have to take a lead as to prevent and control any major incident at inception stage by
providing all Technical Control measures like Water Sprinkler / Scrubber systems, proper
earthing, bonding of the Installation, Reliability of valves, alarms, Rotometer & gauges, provision
of Dykes & Impounding pit, Blast-wall, Flame-proof fittings etc.
 To fulfill all statutory provisions
like Hydraulic Test of the vessel, Safety Work Permit for working on Flammable Installations,
Safety Audit & Risk Assessment, Preparation of On-site Emergency Plan & 6monthly Mock-drill
of the installation.
 For safety of people & property –
 Hazard Communication System, Risk Assessment in terms of damage distances for various
identified scenarios , HAZOP Study- must.
Periodic inspection and maintenance
of critical equipment like pumps, strainer, pipelines, vaporizers, non-return valves, etc.
Safety Training with respect to MAH Unit
2. Mngement Information System in MAH Factory Installations:
 Adequate information regarding the properties and Characteristics of chemicals (MSDS),
past experience such as the unwanted emissions, their causes and control measures adopted
in similar units plays a vital role.
 Analysing the past minor or major incidents, finding out the causes and taking corrective/
Preventive actions Publishing revised On-site Emergency Plan for everybody’s information
is necessary.

92
  Easy retrieval of stored data, when needed at short notice, for use of the plant authorities and
advising the District Emergency Authorities in taking proper action for any off-site
emergency situations. Such information should be regarding the weather conditions,
surrounding habilitation, the installations, dispersion models worked out for various
chemicals constituting major hazard for various etc.
 Nowadays it has become legally to declare & display Preventive measures of MAH in case
of Emergency outside the gate for public information.
 Also the nabouring industries are to be made aware about the MAH emergency, response &
Preparedness for their safety.
 Preparation of Standard operating Procedure
3. Role of District Collector:
District Collector in co-operation with DISH office prepares Off-site Emergency Plan for the
District with the help of local experts. This is Useful in exaggeration of emergency outside the
Industry to the Public. The authority also conducts mock drill of the same.
4. Mutual Aid group:
comprising of nabouring industries around MAH Units, NGOs, Social worker of the habitation
near MAH Unit, nearest Police Station
Members conduct periodical meetings o discuss about the emissions & measures.
MAH System: State-wise Control System
Identification of MAH Factories/Installations
MAH Factories/Installations in India have been identified based on specified substances and their
threshold quantities as per the MSIHC Rules, 1989. As on date, there are 1,212 MAH factories
and 684 hazardous chemicals in those units. The state-wise distribution of the MAH factories,
hazardous chemicals and on-site emergency plans & Offsite Emergency Plans are there due to
Laws & MSIHC Rules.
Formation of Crisis Groups: State, District & Local
Government of India launched a programme of pocket-wise industrial hazard identification and
risk analysis with the objective of risk reduction and development of risk minimisation plans for
MAH installations in identified industrial pockets in the country. This would enable the
Government to arrive at an acceptable and pragmatic delineation of vulnerable zones and
develops suitable off-site emergency plans. A Scheme is under formulation for giving training for
first level responders of emergencies. DGFASLI, has also been requested to formulate the
scheme. The Government of India also initiated a project for Nation-wide training of personnel on
Chemical Safety and All these measures taken by the Government of India have succeeded in
bringing about an awareness at the national level in industrial management and employers’ and
employees’ ssociations. But there is a need for further percolation of the message to all levels and
all persons connected with industry. This is possible only with the cooperation and involvement
of everyone in the society.
Different Crises groups are formed:
State Crisis group:
District Crisis group: comprising of District Collector, Factory Inspectors, MAH installation
Representatives, Civil Defense, RTO, District Police authorities’ representative.
Local Crisis group: Office of The Jt. DISH, Representatives of MAH Installations,
93
These Crisis groups conduct periodical meetings to assess the present aid from the members,
updating the contacts & means of emergency aid equipments conducting & involving in Mock-
drills
MAH System: National Control System
Millions of chemicals are handled in industry cause harm to human beings, other living
creatures, plants, micro-organisms, property or the environment referred to as hazardous
chemicals. Industrial. Installations handling these chemicals have the potential to give rise
to serious injury or damage beyond the immediate vicinity of the workplace. These are
known as major accident hazards.
The Ministry of Labour, Government of India, responsible for administering the Factories Act,
1948 amended it in the year 1987. Important objectives of the amendment were, to regulate the
location of hazardous process industries in such a manner that they do not cause adverse effects to
the public in the vicinity and provide measures for safe handling of hazardous substances. Also,
the Ministry of labour implemented through DGFASLI and Inspectorates of Factories an ILO
Project: ‘Establishment and Initial Operation of a Major Accident Hazards Control System in
India’ in the manufacturing sector in the later part of 1980s. A great deal of awareness was
created through this project among all concerned about the prevention of major accidents and
mitigation of adverse effects of such an accident.
DIRECTORATE GENERAL FACTORY ADVICE SERVICE & LABOUR INSTITUTES
(DGFASLI) : It is an attached office of the Ministry of Labour, Government of India was set up in
1945.
It serves as a technical arm to assist the Ministry in formulating national policies on occupational
safety and health in factories .
It Implements ILO project on MAH Units.
DGFASLI advise State Governments and factories on matters concerning safety, health,
efficiency and wellbeing of the persons at workplace. It also enforces safety and health statutes in
major ports of the country. Institute dealing with the scientific study of all aspects of industrial
development relating to the human factors
The Directorate General Factory Advice Service & Labour Institutes (DGFASLI) comprises:
 Headquarters situated in Mumbai
 Central Labour Institute in Mumbai
 Regional Labour Institutes in Calcutta, Chennai, Faridabad and Kanpur
 DGFASLI organization in CLI, Mumbai functions as a socio-economic lab. & is a
national.
INDOSHNET by DGFASLI
Ministry of Labour, Government of India, is developing a National Network on
Occupational Safety and Health information system known as INDOSHNET. Directorate General
Factory Advice Service & Labour Institutes (DGFASLI), an attached office of the Ministry of
Labour will act as a facilitator of the network system. The objective of the network is
reinforcement and sharing of national occupational safety and health (OSH) information on no-
profit no-loss basis with a view to pooling our information resources for mutual benefit. The
sharing of information will not only confine to the national level but also includes international

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sources. The communication of information will be through E-mail as well as postal/courier
service. DGFASLI invites industrial organisations, institutes, industry associations, trade unions,
professional bodies and nongovernmental organisations having information on OSH and willing
to share the same with others at the national and international level to participate as members in
the network.
Ministry of Environment and Forests, Government of India is the nodal Ministry for
chemical accidents. The set of Rules notified under the Environment (Protection) Act, 1986
provide statutory requirements to prevent major accidents and handle emergencies arising out of
chemical accidents. The Ministry has taken several initiatives to prevent major accidents with the
cooperation of all the stakeholders. Government, local authorities, industry, non-governmental
organizations and community have respective roles to cover feature of this MAH issue
STATUTARY MEASURES TAKEN BY THE GOVERNMENT OF INDIA
Before the Bhopal tragedy and also as an aftermath of it, a series of legislative and
organisational measures have been instituted by the Government of India to control major
accidents and safeguard public life and property from hazards of the chemical industry.
Legislative Measures
The concern of the Government of India has been reflected in amending the Factories Act,
1948 in 1987 and enacting the Environment (Protection) Act, 1986. The the amendments besides
strengthening many other provisions of the Factories Act – (a) to regulate the location of
hazardous process industry in such a manner that it does not cause adverse effects to its
neighborhood; (b) to involve workers in safety management; and (c) to provide measures for safe
handling of hazardous substances. Clause(iv) of Sub-Section 3(2) of the Environment
(Protection) Act lays emphasis on the responsibility of the Central Government for prescribing
procedures and safeguards for prevention of accidents which may cause substantial damage to life
and to take remedial measures in case of such emergencies.
Ministerial Working Group was constituted in October, 1986 by the Government of India to
discuss various related issues and recommend necessary policies and procedures for
implementation.
Subsequently the following regulations came into effect :
 The Manufacture, Storage and Import of Hazardous Chemicals (MSIHC) Rules, 1989 and its
Amendments in 1990 and 1994. Some important provisions of the MSIHC Rules, 1989 are
Notification of sites, notification of major accidents by the occupiers preparation and filing of
safety report and safety audits by occupiers;
 preparation of on-site and off-site emergency plans; and collection, development and
dissemination of information on hazardous Chemicals.
The responsibility of OEP delegated to the occupiers of the concerned for installation preparation
and the implementation of onsite emergency plan and the District Col lector concerned for the
preparation and implementation of off-site emergency plans.
 The Chemical Accidents (Emergency Planning, Preparedness and Response) Rules, 1996.
 The Hazardous Wastes (Management & Handling) Rules, 1989.
 The Environment Impact Assessment Notification, 1994 The above Rules outline the role
and

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Responsibilities for prevention and control of major accident hazardsby variousCentral and State
Government agencies and the community.
 The Public Liability Insurance Act, 1991 and Amendment, 1992.
Role of NGOs/Voluntary organizations (I.I.S.P.I., Mumbai, Environment
Knowledge Center in Nasik)
MAH installations in India are spread throughout the country. Naturally the control of MAH
response became a difficult task by the Government alone. NGOs and voluntary organisations can
play a major role in this respect. Areas where these can render their services are:
Information, education, communication and mass awareness programmed,
Co-ordination with the District/Local Authorities in emergency management programmed, &
Rehabilitation & Reconstruction. The Government of India is encouraging NGOs & voluntary
organizations to take active part by providing financial and technical support.
1. Central Labour Institute (CLI)
CLI has earned national and international recognition. It has been recognised by the International
Labour Organization as a Centre of Excellence in training on Occupational Safety and Health in
the Asian and Pacific Region.
It functions as a National Centre for CIS (International Occupational Safety and Health
Information Centre) and the Centre for National Safety and Health Hazard Alert System.
At the national level, apart from providing research and training support to the Government and
functioning as a technical arm of the Ministry of Labour, the institute provides comprehensive
and multi-disciplinary services to the Industrial Port sector through studies, technical advice,
training and dissemination of information.
Produce quality video films on Safety and Health
Conference of Safety Officers
Advance course in Industrial Safety
Specialized Post Graduate Course on Occupational Health
CLI branches in the India (Mumbai, Kanpur, Calcutta, Chennai) Conduct Tr. Prog on MAH
Installation, Control of MAH in Chemical Ind. & workshop on safety audit, Hazop
It also extends reading facilities to students & scholars attending different training programmes &
courses conducted by CLI as it has got a Library and information centre
MSDS on about 1,00,000 chemicals/materials are available with Central Labour Institute.
Computer printout will be supplied on nominal charge basis.
2. NATIONAL REFERRAL DIAGNOSTIC CENTRE by CLI
For early detection, diagnosis & advise of occupational health disorders and occupational diseases
due to Toxic release the Industrial Medicine Division of Central Labour Institute, Mumbai
runs a National Referral Diagnostic Centre (N.R.D.C well equipped for medical examination
facilities where the industrial diseased person can be referred.
3. National Safety Counil :
 Works for Safety Health & Environment Awareness activities:
 Enroll membership personal & Industrial
 Provide them regular Information through Periodicals, Chronicles
 Provide SHE Publicity Material like Posters, booklets, books
 SHE Day Celebration Banners, pocket Badges
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  Arrange Training Programmes
 Conducts Safety Audits, Risk Analysis Services to MAH industries
4. MAH System: International Control System
International Occupational Safety and Health information centre (CIS)
CIS (from the French name, Centre international Information security hygiene travail) i.e.
International Occupational Safety and Health Information Centre, is a part of the International
Labour Office, Geneva, Switzerland. The mission of CIS is to collect world literature that can
contribute to the prevention of occupational hazards and to disseminate this information at an
international level. CIS imparts to its users the most comprehensive and up-to-date information in
the field of occupational safety and health. The work of CIS is supported by a worldwide Safety
and Health information exchange network which includes over 86 affiliated National Centers and
23 CIS collaborating Centers. CLI, Mumbai has been designated as the CIS National Centre of
India. CIS can offer you rapid access to comprehensive information on occupational safety and
health through:
 Microfiches on original documents abstracted in CIS DOC (CISILO)
 ILO CIS Bulletin “Safety and Health at Work”
 Annual and 5-year indexes
 The CIS Thesaurus
 The list of periodicals abstracted by CIS
CIS ACCESSION NUMBER :
ABSTRACT:
Adverse occupational health and safety (OHS) effects associated with the use of Sub-contractors
are identified and control OHS risks are described. Factors to be considered include:
consideration of the costs and benefits of employing sub-contractors; senior management
commitment; tender and contract requirements; OHS management policies; sub-contractor OHS
management system; subcontractor behaviour.
International Labour Organization (ILO):
 Establishment of a Major Accident Role of DGFASLI & DISH through ILO: (DGFASLI).
Important achievements of the project are –
 Setting up a three-tier Major Accident Hazards Control Advisory Division in Central Labour
Institute (CLI), Mumbai and its cells in Calcutta, Chennai and Kanpur.
 Identification of (MAH) Installations in different States and Union Territories & bringing
them under a programme of intensive inspection.
 Establishing Computerized Data Bank at CLI for storage, retrieval and dissemination of
information on hazardous chemicals, MAH installations, specialists on MAH Database on
OSH etc. The Data Bank has two softwares WHAZAN and TNO for calculation of physical
effects and con sequence of release of toxic and flammable chemicals.
 Expansion of the Factory Inspection Services and enhancing their capabilities through set
ting up of laboratories and training of inspectors.
 Training of the inspection and advisory staff and key personnel from industry to develop
their competence on HAZOP study, Risk Assessment, Safety Audit, etc.
 Extended the system of MAHC to the port sector. The project had succeeded in enhancing.

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ON-SITE EMERGENCY PLAN
INTRODUCTION:
Modern industry, characterized by complex process and technology is open to an ever
increasing danger form disasters, which can seriously affect the safety, security and stability
of the organisation. Some of these disasters are natural such as earthquakes, floods, tsunamis,
cyclones, lightening, while others are man-made. The man-made disasters included
dangerous spills & leak of chemicals, fires & explosions, hit by external objects,
contamination & poisoning of food, terrorist attacks, etc. All of these have occurred several
times in industries, when unprepared for such disasters creating panic, disorder and
confusion. The result has been extensive damage to men and material. Major
accidents/disasters in a factory is one which has the potential to cause serious injury or loss
of life. It may cause extensive damage to property, loss of life and serious disruption both
within and outside the works.
A number of chemicals produced and used in the chemical industry are one of hazardous
nature. This hazard arises as a result of three properties, viz.: toxicity, flammability and
corrosivity. Sudden and uncontrolled leak of contaminant will give rise to a disastrous
condition, magnitude of which will depend on the type of chemicals as well as its inventory.
An emergency plan is an informative document, which acquaints the occupants of a factory
or an occupancy with procedures to be implemented, during an emergency. It details standard
operational guidelines to emergency controllers and their personnel, who may be required to
fulfil a key functional role, during the various stages of an emergency. In other words, it
contains critical information, which can assist emergency services personnel to formulate
appropriate incident management strategies and tactics, when attending on an emergency at a
plant. Since it is a critical document in implementing appropriate management strategies, it is
important that the plan is comprehensive and easy to read and use.
Each works shall formulate an emergency/disaster management plan, detailing explicitly
what action will be taken in the event of a major accident occurring on site, to prevent further
escalation and to ensure rapid control. The emergency planning within the factory premises is
known as On-Site Emergency Plan. This is to be dovetailed with Off-Site Emergency Plan.
This article will deal with the details of On-Site Emergency Plan.
LEGAL PROVISIONS:
The On-Site Emergency Plan is a mandatory document under various statutes of India. By
virtue of the provision under Section 41-B (4) of the Factories Act, 1948 and its amendments
of 1987, the occupier is expected to draw up the On-Site Emergency Plan along with detailed
control measures for his factory. The occupier should also make the plan known to the
workers and general public in the vicinity of the factory, with safety measures required to be
taken by them in case of an emergency. The various state Factories Rules made under the
Factories Act, 1948, also prescribe the procedures to be followed in emergency planning, for
example, Rule 73 (M), (N), (O), (P), (Q) and (R) of the Maharashtra Factories Rules, 1963,
prescribe in details regarding the procedures to be followed in emergency planning,
informing workers and the people in the neighborhood, district administration and Chief
Inspector of Factories. Incidentally, under Rule 13 and 14 of the Manufacture, Storage and
Import of Hazardous Chemicals (MSIHC) Rules, 1989, framed under the Environment

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(Protection) Act, 1986, it is the responsibility of District Collector or District Emergency
Authority to prepare an Off-Site Emergency Plan.
MANAGEMENT STRATEGIES:
An On-Site Emergency Plan must be related to final assessment of the size and nature of
events foreseen. It means that it should be specific. The effectiveness of response during
emergencies depends on the amount of planning and training. If management is not interested
in employee protection and minimizing property loss, very little can be done to promote a
safe workplace. It is therefore, management’s responsibility to see that a programme is
instituted and that it is frequently reviewed and updated. The input and support of all
employees must be obtained to ensure an effective on-site emergency programme. The
emergency response plan should be developed locally and should be comprehensive enough
to deal with all type of emergencies.
SALIENT FEATURES OF EMERGENCY PLAN:
An On-Site Emergency Plan must include the following features:
 Emergency escape procedures and emergency escape route assignments.
 Procedures to be followed by employees, who remain to perform critical plant operations
before they evacuate.
 Procedures to account for all employees after emergency evacuations has been
completed.
 Assigning Rescue and Medical duties for these employees who have to perform them.
 The procedures for reporting fire and other emergencies.
 Name and regular job titles of persons or departments to be contacted for further
information or explanation of duties under the plan.
The emergency action plan should address all potential emergencies, which can be expected
in the workplace. It must list in detail the procedures to be taken by those employees who
must remain behind to care for essential plant operations until their evacuation becomes
absolutely necessary. This may include monitoring plant power supplies, water supplies and
other essential services that cannot be shut down for every emergency alarm.
For emergency evacuation, the use of floor plans or workplace maps, which clearly show the
emergency escape routes and safe areas, should be included in the plan. All employees must
be told, what actions they are to take in the emergency situation that may occur in the
workplace. Above all, this plan should be reviewed with employees initially when the plan is
developed, whenever the employees responsibilities under the plan change and whenever the
plan is changed.
COMPONENTS OF ON-SITE EMERGENCY PLAN:
While preparing an On-Site Emergency Plan, the following components should be
considered:
 Chain of Command  Personnel Protection
 Communications  Medical Assistance
 Counting of Personnel  Security
 Emergency Control Centre  Mutual Aid
 Training

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Chain of Command:
A chain of command should be established to minimize confusion, so that employees at
the workplace will have no doubt, who has the authority for making decisions. Responsible
employees should be selected to co-ordinate the work of emergency response teams.
Emergency Response Coordinator is also known as Site Controller or Works Main
Controller. The duties and functions of the team leaders can be written and included in the
emergency plan document. The size of the team will vary from organisation to organisation.
Some of the duties and functions of the Emergency Response Coordinator are given below:
 To assess the situation and determining whether an emergency exists which requires
activating the emergency procedures.
 To direct all action in the areas including evacuation personnel and minimizing
property loss.
 To ensure that outside emergency services such as police, medical aid and local fire
brigade are called in when necessary.
 To direct the safe shutdowns of plant operations when necessary.
 To declare the withdrawal of emergency at the site.
 To look after the rehabilitation of affected persons after withdrawal of emergency at the
site.
 To issue authorised statements to news media and ensure that evidence is preserved for
enquires to be conducted by the statutory authorities.
Communications:
During an emergency involving a major fire or explosion, it may be necessary to evacuate
offices in addition to manufacturing areas. During such emergencies, normal services such as
electricity, water and telephones may not exist. Under these circumstances, an alternate area
may be necessary, where employees can report or which can act as a focal point for incoming
and outgoing calls. Since time is an essential element for adequate response, the person
designated as being in charge should make this area, as the alternate headquarters, so that he
can be easily reached.
A method of communication also is needed to alert employees for evacuation or to take
other actions as required in the emergency plan. An Alarm should be provided, which should
be audible or seen by all people in the plant and should have an auxiliary power supply in the
event of electricity failure. The alarm should be distinctive and recognizable by all
employees.
The employer should explain to each employee the means of reporting emergencies.
Emergency phone numbers of Key Persons and Organisations should be posted on or near
telephones and other conspicuous locations. It may be necessary to notify other key
personnel such as Plant Managers, Shift In-Charges, or Physicians during off duty hours. An
updated written list should be kept of Key Personnel listed in order of priority.
Counting of Personnel:
A responsible person in the Control Centre should be appointed to account for personnel
and to inform police or emergency response team member of those persons believed missing.
The person appointed should make a team and team members are physically capable of

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performing the duties assigned to them. The team members should be trained in the
following areas:
 Use of various types of fire extinguishers.
 Use of Self Contained Breathing Apparatus (SCBA)
 First Aid, including cardiopulmonary resuscitation (CPS) kits
 Evacuation procedures
 Chemical spill control procedures
 Search and Emergency Rescue procedures
Emergency response teams should be trained, in the types of possible emergencies and the
emergency actions to be performed. They should be informed about special hazards, such as
storage and usage of flammable materials, toxic chemicals, radioactive sources and water
reactive substances to which they may be exposed during fire and other emergencies.
Emergency Control Centre:
The Emergency Control Centre is the place from which the operations to handle the
emergency are directed and coordinated. It will be attended by the Emergency Response
Coordinator or Incident Controller or Site Main Controller, Key Personnel and Senior
Officers of the Fire Brigade, Police, Officials of the Factory Inspectorate, District
Authorities, Emergency Services and Medical Personnel, etc.
The Control Centre should be sited in an area of minimum risk and close to road to allow for
ready access by a radio-equipped vehicle for use, if other system fail or extra
communications facilities are required. For large sites or where toxic releases might be
anticipated, consideration should be given for setting up two Control Centres to ensure, that
at least one centre will be available for use, should the other be disabled. If necessary, the
police will assist to set up an Emergency Control Centre.
The Emergency Control Centre should consist of:
 Adequate number of external telephones,
 Internal telephones, and PA Systems
 Radio equipment, hot lines, walkie-talkie, mobiles, etc.
 Plans of the factory to show:
o Areas of large inventories of hazardous materials, including chemical storage tanks,
reactors, drums and compressed gas cylinders
o Location of radio-active sources.
o Location of sirens.
o Location of safety equipment including fire, explosion, spill and gas control kits.
o Location of firefighting installations.
o The fire water system and additional source of water, site entrances and road system.
o Assembly points, shelters, refuge areas, lunch rooms and canteens.
Training:
Training is important for the effectiveness of an emergency plan. Before implementing an
emergency action plan, a sufficient number of persons must be trained to assist in the safe
and orderly evacuation of employees or occupants. Training for each type of disaster
response is necessary, so that employees or occupants know what actions are required to be

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taken. In addition to the specialized training imparted for emergency response team
members, all employees or occupants should also be trained in:
 Evacuation plans
 Shutdown procedures
 Alarm System
 Reporting procedures for personnel
 Types of potential emergencies
These training programmes should be provided:
 Initially when the plan is developed
 For all new employees or occupants
 When new equipment, process, or materials are introduced
 When procedures have been updated or revised
 At least once in a year.
The emergency control procedures should be written in concise terms and be made available
to all employees or occupants. A mock drill should be held for all personnel at random at
least once in a year. The emergency plan should be revised periodically and updated to
maintain adequate response personnel and programme efficiency.
Personal Protection:
Effective personnel protection is essential for any person, who may be exposed to
potentially hazardous substances. In an emergency, employees may be exposed to a wide
variety of hazardous circumstances, including
 Chemical splash or contact with toxic materials
 Unknown atmosphere that may contain inadequate oxygen to sustain life or toxic
gases, vapours or mist
 Falling objects and flying objects
 Fires and electrical hazards
It is extremely important that employees be adequately protected in these situations. Some of
the safety equipment that may be used include:
 Safety glasses, goggles or face shields for eye protection
 Helmets and safety shoes for head and foot protection
 Whole body coverings, gloves, hoods and boots for body protection from chemicals
 Whole body protection for abnormal environmental conditions such as extreme
temperature
 Respirators for breathing protection
Emergency situations may involve entering confined space to rescue employees overcome by
toxic compounds or lack of oxygen. They include tanks, vaults, pits, sewers, pipelines, silos
and vessels. Entry into confined spaces can expose the employees to a variety of hazards,
including toxic gases, explosive atmospheres, oxygen deficiency, electrical hazards and
hazards created by mixers and impellors that have not been deactivated and locked out.

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Medical Assistance:
Medical Assistance plays an important role, during an emergency, especially when a
major fire and explosion occurs. Thus a Medical Assistance Team should be formed and the
team should have:
 Persons trained in First-Aid should be available.
 Eye washers or suitable equipment for quick drenching or flushing must be provided
in the work area for immediate emergency use.
 First-Aid supplies should be provided for emergency use.
 Ambulance service should be available to handle any emergency.
Security:
During emergency, it is often necessary to secure the area to prevent unauthorised access and
to protect vital records and equipment
Mutual Aid:
In major emergency situations, resources over and above these available at the works will be
needed. In locations, where there are a number of industrial concerns, it may be beneficial to
set up a mutual aid programme which will assist to secure additional supplies when needed.
CONCLUSION:
Every industry is exposed to threat of disasters, both man-made and natural due to variety of
causes. Experience has shown that such disasters can strike at the most unexpected time. The
impact of such disasters depends on how well the management copes with such a situation. A
major accident/disaster may be defined as one or more emergencies, which can affect several
or all departments and personnel working within a factory or an occupancy and can result in
extensive damage to property, loss of life and disruption both inside and outside the works.
An important element of mitigation is emergency planning, i.e., recognising that accidents
are possible, assessing the consequences of such accidents, and deciding the emergency
procedures both On-Site and Off-Site. Emergency planning is just one aspect of the safety,
other being maintaining good safety standards of operating inside plants.
The effectiveness of what we should do, if a disaster strike, will wholly depend upon how
well we have prepared the On-Site Emergency Plan and train the people, who will have to
implement them. The preparation of an On-Site Emergency Plan is in itself an invaluable
learning exercise and it should involve the manager, workforce, and the emergency services.
The objective of an emergency plan will be to localise the emergency and, if possible,
eliminate it. Minimising the effects may include rescue, first aid, evacuation, rehabilitation,
and giving information properly to people living nearby. In other words, the disaster plan is
in effect, an orderly assimilation of the consideration to the activities necessary for the co-
ordination of rescue, firefighting, medical needs, welfare requirements and the preservation
of life and property.

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OFF-SITE EMERGENCY PLANNING:
Purpose

 To ensure that the local authority’1 (LA) adequately discharges its duty to prepare, test on an
ongoing basis and review and revise the off-site emergency plan (OfSEP) for each COMAH
toptier site within its area so as to minimize the consequences of major accidents to people
and the environment.
 To ensure that operators of top tier COMAH sites supply to local authorities the information
necessary for the purpose of enabling the authority to prepare the off-site emergency plan as
required by COMAH Regulation 10, and provide information to the public as required by
Regulation 14.
 Emergency response is a Competent Authority Strategic Management Group (CASMG)
priority topic for 2010-2011. The results from the intervention will be recorded on COIN and
reported to CASMG at the end of the work year. The results will be used to inform future
interventions.
Scope
 COMAH off-site emergency planning requirements for all top-tier COMAH sites, falling
to both Las and top-tier COMAH operators.
 The linkage between COMAH OfSEP requirements at top-tier sites and COMAH
notification requirements under Regulation 6. The CA administrative procedures for
handling Notifications, including the need to keep the LA up-to-date about the status of
COMAH sites in their area, as set out in chapter 5 of the COMAH manual.
 Competent Authority (CA) arrangements for meeting their duty as a statutory consultee to
the LA and enforcing COMAH Regulations 10, 11, 12 and 14.
 Communication channels/working relationships within the CA and between the CA and
LAs for the ongoing exchange and sharing of relevant information.
Off-site Emergency Plan:
The main objective of the plan are –
 To save lives and injuries.
 To prevent or reduce property losses and
 To provide for quick resumption of normal situation or operation.
Risk Assessment: Risk assessment is most essential before preparing any off site emergency plan.
Hazardous factories and their hazard identification, other hazard prone areas, specific risks,
transportation risk, storage risks, pollution risks by air and water pollution, catastrophic risks such
as disasters, natural calamities, acts of god, earthquake, landslide, storm, high wind, cyclone,
flood, scarcity, heavy rain, lightening, massive infection, heavy fire, heavy explosion, volcano,
heavy spill, toxic exposure, environmental deterioration etc., risks from social disturbances, risks
from the past accidents must be considered while carrying out risk assessment for a particular
area(district) from which the offsite emergency plan is to be prepared.
Central Control Committee: As the offsite plan is to be prepared by the Government, a Central
Control Committee shall be formed under the Chairmanship of the District Collector. Other
officers from Police, Fire Service, Factory Inspectorate, Medical Department shall be
incorporated as members of the Central Control Committee. Under the Central Control
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Committee the following committees shall be constituted under the control of the District
Collector.
 Incident and Environment Control Committee.
 Fire Control Committee.
 Traffic control, Law and order, Evacuation and Rehabilititation Committee.
 Medical help, Ambulance and Hospital Committee.
 Welfare, Restoration and Resumption Committee.
 Utility and Engineering Services Committee.
 Press, Publicity and Public Relations Committee.
The Off-site Emergency Plan shall be prepared by the District Collector in consultation
with the factory management and Govt. agencies. The plan contains up to date details of outside
emergency services and resources such as Fire Services, Hospitals, Police etc. with telephone
number. The district authorities are to be included in the plan area.
 Police Department.  Gram panchayat.  Electricity
 Revenue  Railway Department.
Department. Department.  Pollution Control
 Fire Brigade.  Telephone Department.
 Medical Department.  Explosive
Department.  Factory Department.
 Municipality. Department.  Press and Media.
Mock exercises on Off-site plan should be carried out at least once in a year to train the
employees, up to date the plan, observe and rectify deficiencies.
HAZOP Study:
Before making the on-site and offsite plan hazop study has to be carried out to identify the
potential hazardous situations and to find out possible control measures. Hazop study is to be
carried out by a team of experts. The team should consist of –
 Mechanical Engineer.
 Chemical Engineer.
 R & D Chemist.
 Works Manager.
 Project Manager.
 Outside experts.
 Safety Officer/ Manager.
Conclusion:
To carry out mock exercises and rehearsal of the off site plan to ensure its efficiency, test
and response, interaction and co-ordination of operators various service organizations evaluate the
effectiveness and adequacy of the equipment’s and to gain experience and confidence to implement
the plan. The finalized disaster plan shall be given to all concerned for implementation and
rehearsal for preparedness.

MUTUAL AID RESPONSE GROUP - LOTE PARSHURAM (LP-MARG)

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MUTUAL ACCIDENT RESPONSE GROUP (MARG),
"There's no denying the emphasis that needs to be given to safety - be it at home or at the industrial
front," said Ashok Khot, principal secretary, ministry of labour, Maharashtra state, while reiterating
the need to be prepared for any untoward emergency at any moment, speaking on the occasion of a
training seminar on Safety in chemical industries, on May 13th.
The event was organised by the flagship arm of the Taloja Manufacturer's Association (TMA), the
Mutual Aid Response Group (MARG) and the directorate of industrial safety and health (DISH),
Raigad, head quartered at CBD and hosted at the Indal Club House, Taloja.
Covering a slew of areas like 'Emergency Preparedness' for hazards, potential occupational hazards
and the statutory provisions and amendments introduced in the Factories Act, the day had a number
of expert professionals from DISH and MARG enlightening an enthused audience of supervisors
with ample case studies, elucidating instances of accidents.
For the informal group of expert professionals, straddling the realm of safety and environment,
hailing from the various industries of the zone, comprising MARG, the day was yet another red-
letter day.
Bound by a mission of spreading 'Safety Consciousness' and of functioning as a medium for the
rescue of any industry member in the event of an emergency, with all necessary aid and
infrastructure, the occasion, saw the unveiling of a Green Book at the hands of the guest of honour,
Ashok Khot.
A valuable repository, brought about by the voluntary efforts of MARG members, the Green Book
would, according to U V Madne, director DISH, be a ready reckoner to any Industry in the event of
an emergency. Beginning with the listing of different chemicals being handled by each factory in
the region to the quantities involved, and going on to include potential hazards that could take
place, it also has a list of safety experts available in the region and their contact numbers. Also cited
are different kinds of safety equipment that could be made available. Moreover, there's a a host of
other information concerning police stations and fire brigades in the vicinity.
"By playing a vital role in minimising the number of accidents in most of the industrial regions of
Maharashtra, which have no access to even a fire brigade, MARG has indeed been commendable,"
remarked S M Karande, deputy director, Industrial Safety and Health.
Added S D Sharma, chief general manager, Indal Taloja Works, that with regular mock drills,
simulating emergency situations conducted for the different industries, the learning experience that
inherently takes place makes the region self supportive and self sustaining.
But that's not all. Also in the pipe line is a training manual, covering various areas like the safe
handling of chemicals, use of protective equipment and accident prevention among a host of others,
all going to facilitate any MARG trainer in training the industrial brethren in being prepared for any
emergency.
Objectives:
 The overall objective of the LP-MARG is to generate, develop and sustain a voluntary
movement of Safety, Environment & Health at the Lote parshuram MIDC level.
 To prevent Human Injuries, consistent effective control and reduction of EHS risks-aspects,
incidences & hazards through awareness among employees.

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  To provide training to the employees of the MARG Members and concerned authorities etc.,
with sole intention of averting Industrial disasters.
 Essentially a mutual aid scheme, by which the resources held by MARG Members can be
made available to a member company in an emergency at any time.
 To provide a rapid and co-ordinated response to minimize adverse effects to the workers,
public, property and environment.
 Support small-scale industries by large scale industries to know the hazards, risks &
requirement of emergency preparedness & response from the concern processes, Hazardous
chemicals handling, storage & use of Chemicals.
 Sharing the information among employees for safe , environment friendly practices adopted
in an industries.
 To voluntary scheme requires all MARG Members to play their part by promptly making
available their resources in case of a major emergency in any Member company’s unit.
How to sustain MARG:
It is essential that:
 Each MARG Member maintains a list of equipment that can be spared which should be
kept updated.
 Each MARG Member has competent adviser.
 There should be an effective system of informing neighboring communities of any industrial
emergency and what to do in case of the emergency.
 Meet regularly.
 Share Information.
 Discuss major accidents? Emergencies to learn lesson from them.
 Have regular joint drills based on Onsite emergency plans & on Off-site emergency plan.
 Communicate, share, and participate with other MARG Members.
 Communicate with emergency responders like city fire brigade, hospitals, Ambulance
service& police etc.
 Standardize terminology used to identify the key emergency management groups and
personnel, For example-Emergency co –coordinators, Site controller, etc.
 Ensure availability of services of competent advisor.
Responsibilities of MARG Members related to Emergency Management:
 Each MARG Member to ensure that individual emergency response plans and procedures
are developed and tested at frequent intervals.
 During the rehearsals, appoint 2-4 independent observers.
 After each rehearsal, have a review meeting and record the minutes/response time.
 Note down any feedback or suggestion for improvement of the plan.
 Periodically review and revise the on-site emergency plan.
 Update the same and
 Communicate to all stakeholders.

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Major accident control system at local state
Many factories in India have been employed and implemented their risk Assessment
System, such as safety management system, control of major accident hazards or other occupational
safety and health – such as safety audit. Safety Management system (SMS) has various elements of
safety and Implementation of the Safety management system will ensure improved safety in
Industries. This paper deals with various elements of Safety management systems in Major accident
hazard (MAH) factories and the methodology to enhance safety in MAH industries by
implementing proper, adequate and exhaustive SMS.
CONTROL OF MAJOR ACCIDENT HAZARDS
Control of major accident hazards safety case study is to demonstrate the more ‘in depth’
auditing system is companies doing what they say they do? The representative of the company shall
present what they want to do to prevent major accident/incident? What is their future improvement
on safety, health and environment in the next three years? The company is requested to commission
a registered competent person to assist the company to prepare a Control of major accident hazards
safety report every three years.

REQUIREMENT OF CONTROL OF MAJOR ACCIDENT HAZARDS SAFETY REPORT

Indian Control of major accident hazards regulations require the main elements of the safety
report shall include:
 Introduction of the hazardous substances, Major Hazards, Accidents which might be created
major accident with in the Industry.
 Information relating to the installations: Location, process description, number of period on
site and other population distribution etc.
 Information relating to the hazardous substances: Identification of the hazards by using risk
assessment, Hazop, Fault tree analysis, event tree analysis etc.
 Information relationsto safety managementsystem: Safety policy, safety training, safety
promotion, safety facility, safety rules and regulations, safety inspections, emergency
preparedness etc.
 Information relating to public: action plan during accident, common names and dangerous
characteri -stics etc.
 Information relating to potential major accident: Fire, Explosion, spillage, toxic
gas/hazardous substances release, etc.
SAFETY REPORT
 Safety report must contain
 Major Accident Prevention Policy.
 Safety Management System.
 Identification of Hazards.
 Adequate Prevention/Limitation Measures.
 Internal Emergency Plans.
 Information for External Emergency Plans.

Internal Emergency Plan

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Objectives
• Controlling incidents to minimize effects.
• Implementing protection measures.
• Communicating information to the Public and the Authorities.
• Providing for clean-up and restoration of the environment.
4.2. External Emergency Plan
Objectives
• To be prepared by the Competent Authority or Designated Body.
• The Operator must provide relevant information.
• Details of the Plan to be communicated by the CA to the Operator.
Introduction to the Plant
The following documents shall be reviewed to ensure fully familiarization of the plants:
• Name of hazardous substances/MSDS.
• Analytical methods.
• Hazards Analysis.
• Map of the site or surrounding areas.
• On site and off site populations.
• Nearest emergency services.
• Safety and security management systems.
• Emergency response plan available etc.
Information Relating to Hazardous Substances
This will specify the every hazardous substance which has exceed the lower and upper thresholds
Control of major accident hazards requirements. Information will include:
 Name of the Hazardous substances.
 Analytical methods.
 Description of hazardous which may be created by the hazardous substances.
 Location of the various hazardous substances.
 Material safety data sheet, etc.
Information Relating to the Installations:
This provides an outline of the factual information about the installation and processes in order
to satisfy the requirements.
 Map of the site and itssurroundingsshould identify: Populations/industrial
premises/transportation features etc.
 Site plan to indicate the land use and planning for plant modifications.
 Nearest emergency services:fire station/hospital etc.
 Distribution of local population: school/residential houses.
 Number of persons on-site: employees, visitors, etc.

General provisions
Objective
The objective of this code of practice is to provide guidance in the setting up of an administrative,
legal and technical system for the control of major hazard installations. It seeks to protect workers,
the public and the environment by:
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(a) Preventing major accidents from occurring at these installations;
(b) Minimizing the consequences of a major accident on site and off site, for example by:
i) Arranging appropriate separation between major hazard installations and housing and other enters
of population nearby such as hospitals, schools and shops; and
ii) Appropriate emergency planning.
Application and uses
This code applies to major hazard installations which are usually identified by means of a list of
hazardous substances, each with an associated threshold quantity, in such a way that the industrial
installations brought within the scope of the definition are recognized as that requiring priority
attention, i.e. they have the potential for causing a very serious incident which is likely to affect
people, both on site and off site, and the environment. The list and threshold quantities of hazardous
substances should reflect national priorities.
In order to facilitate step-wise implementation of the provisions of this code of practice, the
competent authorities may for a transitional period establish increased threshold quantities for the
implementation of particular components of the code.
Excluded from the scope of this code of practice are nuclear hazards and those of a strictly military
nature, both of which are likely to have existing comprehensive controls of their own. In addition,
the code excludes the transportation of hazardous chemicals since its control and management are
different from those at static sites.
This code addresses the activities necessary for competent authorities to establish a major hazard
control system, and calls for attention to be paid to them by:
(a) competent authorities such as governmental safety authorities and government inspectorates;
(b) local authorities;
(c) works managements;
Prevention of major industrial accidents
(d) workers and workers' representatives;
(e) police;
(f) fire authorities;
(g) health authorities;
(h) suppliers of technologies involving major hazards;
(i) other local organisations depending on particular national arrangements.
Depending on the type and quantity of hazardous substance present, the kinds of major hazard
installation covered by this code may include:
(a) chemical and petrochemical works;
(b) oil refineries;
(c) sites storing liquefied petroleum gas (LPG);
(d) major storages of gas and flammable liquids;
(e) chemical warehouses;
(f) fertiliser works;
(g) water treatment works using chlorine.
Basic principles
Major hazard installations possess the potential, by virtue of the nature and quantity of hazardous
substances present, to cause a major accident in one of the following general categories:

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(a) The release of toxic substances in tonnage quantities which are lethal or harmful even at
considerable distances from the point of release;
(b) The release of extremely toxic substances in kilogram quantities which are lethal or harmful
even at considerable distances from the point of release;
(c) The release of flammable liquids or gases in tonnage quantities which may either burn to
produce high levels of thermal radiation or form an explosive vapor cloud;
(d) The explosion of unstable or reactive materials.
Apart from routine safety and health provisions, special attention should be paid by competent
authorities to major hazard installations by establishing a major hazard control system.
For each country having major hazard installations, competent authorities should establish such a
major hazard control system. This should be implemented at a speed and to an extent dependent
on the national financial and technical resources available.
The works managements of each major hazard installation should strive to eliminate all major
accidents by developing and implementing an integrated plan of safety management.
Works management should develop and practice plans to mitigate the consequences of accidents
which could occur.
For a major hazard control system to be effective, there should be full co-operation and
consultation, based on all relevant information, among competent authorities, works
managements, and workers and their representatives.

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 Chapter 6
OCCUPATIONAL HEALTH AND SAFETY AUDITS
PREPARATION AND ASSESSMENT OF SAFETY AUDIT:
Safety Audit Report:
Safety audit with the help of an expert not associated with such industrial activities is to be
submitted within 30 days after the completion of such audit.
Looking to this need, BIS also published an Indian Standard - IS:14489 in 1998 as standard
guideline for practice on occupational safety and health audit. This IS does not include rating
(points) system like British Standard. Therefore, it gives qualitative analysis and not the
quantitative.
1. Need of Safety Audit:
(A) Safety Requirement: It is utmost necessary for the purpose of maintaining safety (accident
free atmosphere) in industry that all systems of work should be thoroughly checked from
safety point of view at regular interval and deficiencies identified should be removed by due
compliance of safety recommendations. –
(B) Legal Requirement: Rule 12-C & 68-0 of the Gujarat Factories Rules 1963 and Rule 10 &
12 of the Manufacture, Storage and Import of Hazardous Chemicals Rules 1989 need
submission of safety audit reports to the concerned authorities within prescribed time.
2. Audit Procedure:
 Lead auditor along with his team may adopt following procedure:
 Constitution of Audit team (at least two members).
 Constitution of Auditee representatives.
 Recording identification and brief history of the auditee industry.
 Deciding audit goals, objectives and scope.
 Drawing audit plan with time schedule.
 Holding opening meeting with the auditee.
 Study of process and applicability of safely laws and standards.
 Taking plant round and noting observations.
 Examining records and documents.
 Filling checklists of audit points (e.g. filling of Annexure A, B & C of IS-.14489).
 Element wise (Annex. A) files will be useful.
 Holding of closing meeting and discussing findings.
 Preparation and submission of Audit Report (with Executive summary in the beginning).
 Report distribution for compliance.
 Compliance audit if required by the audittee or client.
 Visit for compliance audit and its report.
3. Audit Frequency:
Normally an external or third party safety audit should be conducted once in two years and
an internal audit may be organized once in every year.
4. Audit Goals:
Following goals can be decided while starting the audit:

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 1. Assessment of Auditee's OS&H system against existing standards and identification
of areas for improvement.
2. Determination of conformity of the implemented OS&H system with specified
requirements and identification of areas for improvement.
3. Checking of statutory requirements.
5. Audit Objectives:
Following objectives can be decided for the audit:
 To carry out a systematic, critical appraisal of all potential hazards involving personnel,
plant, services, methods etc.
 To ensure that company's OS&H system and safety policies, objectives etc. satisfy the legal
requirements.
6. Audit Scope:
The scope and depth of the audit should be decided as per auditor’s or client's requirements.
This should include:
 Which plants or areas to be audited.
 Which OS&H system elements to be audited.
 With what legal and other safety standards, rules or documents, the auditee's OS&H systems
should be compared. Benchmarking if any, should be considered.
 List of resources and evidences including workers and experts that will be available for
audit.
 Within what time frame audit should be completed and with what other terms and
conditions. A written agreement, if necessary, should be prepared and signed.
7. Audit Plan:
Audit plan should be finalized after consultation with auditee and should be informed to
auditors and auditee in the opening meeting. This plan should include:
 Audit goals, objectives and scope as stated earlier.
 Names of audit team members and management's representatives.
 List of documents to be checked.
 List of legal and other standards to be followed during audit.
 Auditee's OS&H policy and its other intentions.
 Time schedule of audit visits of each plant or location.
 Schedule of meetings to be held with auditee for the audit purpose.
 Expected date of issue of the audit report.
 Procedure or methodology of compliance of the report, and
 Whether compliance audit will be required by the auditee and if yes, it's probable time
schedule, and method of communication.
8. Checking of Records & Registers:
Statutory forms, records and registers under the Factories Act & Rules and other safety laws
should be checked for relevant information and statutory compliance. This may include (for
Gujarat):
 Form No. 1 a (GFR) i.e. structural stability certificate.
 Form No. 9, 10, II (GFR) for hoists, lifts, lifting machines and pressure vessels.

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  Reports of Competent Persons regarding examination of dangerous machines, safety
devices, dangerous operations etc.
 Form No. 29 (GFR) i.e. Accidents Register.
 Form No. 20, 32 & 33 (GFR) i.e. Health records for workers.
 Form No. 37 (GFR) i.e. work place monitoring record.
 Industrial Hygienist’s report regarding measured values of gas, vapor, noise, WBGT (Heat
stress parameters), ventilation system etc.
 Statutory cautionary notices, safety policy and minutes of safety committee meetings.
 Certificate of safety, testing of pressure vessels and safety valves etc. under SMPV (U)
Rules 1981 and Petroleum Act & Rules, if applicable.
 Forms under Gas Cylinder Rules if applicable.
 Testing certificates of effluents, air pollutants, solid wastes, ambient air quality etc. under
GPCB norms.
 Licenses under applicable Acts and Rules and their validity.
 Public liability insurance policy, if required.
 Records of storage quantities of hazardous chemicals for verification of threshold quantities
and identification as MAH installation.
 Records and Registers (29) as suggested by Annexure - B of IS:14489.
 Other relevant records and registers as considered necessary by the auditors.
9. Checking Applicability of Safety Laws:
From above records, registers, licenses etc. and physical verification of storage quantities,
number of gas cylinders etc., act-wise applicability and validity of licenses etc. should be checked,
discussed and narrated in audit report.
10. Points of Plant-visits:
All safety points (audit points) seen during plant visits should be recorded plant-wise or
location-wise so that plant-wise implementation will become easy. This should be separately
reported in the audit report.
Such points are to be seen as requirement of law and other standards. Their mention will
include reference of relevant section, rule, standard (attributes) etc.
11. Audit Observations and Recommendations:
Safety audit questionnaire sheet should be prepared in the following form:
Sr. Items to be observed Observation seen/ found Recommendations i.e.
No. (Non conformities) safety suggestions.

1 2 3 4

Observations should be clear and specific. Recommendations should also be clear, specific,
easy to understand, brief and with reference of safety standard or reason as per auditor's opinion.
Annexure - C of IS:14489 is a good guideline for safety audit which can be used for a
chemical industry also. It should be utilized as a whole or with necessary modification deem fit by
the auditors. Points may be decreased or increased depending on the size, status, contents,
materials, processes, procedures and systems of works and experience of the auditors.

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 As Annexure - C includes many items of safety •inspection and audit including safety
policy, organization, training, general working conditions, hazard identification and control,
technical aspect, work permit system, PPE, fire protection, emergency preparedness, hazard area
classification, static electricity, vessels and equipments, storage safety, communication system,
transport, pipelines etc., they are not separately discussed in this article. There is no end to such
items. Only experience can specify and classify them. Therefore, audit by duly qualified and
experienced auditors is more useful.
12. Closing Meeting:
After recommendations are ready, prior to preparing the audit report, auditors should hold a
closing meeting with auditee's senior managers to explain them the result of the audit. Audit
observations and recommendations should be explained to them. Power point presentation is more
effective. Querries of the audience should be replied forthwith. Reasons (legal requirements,
standards etc.) of recommendations should be properly explained. It should also be clarified that the
purpose of this effort (audit) is not to criticize but to try to find out the methods of further
improvement.
13. Report Preparation & Submission:
Audit report should be well documented by the auditors, audit certificate should be signed
(with date) by the lead auditor and enclosed with the audit report and it should be sent to the auditee
or client as soon as possible. If it cannot be sent within agreed time limit, reasons of delay should be
communicated. The auditee should send acknowledgement of receipt of audit report to the auditors
and client and final report of compliance when it is over.
14. Report Distribution and Compliance:
Auditee will decide internal distribution (relevant copies) of audit report to the concerned
departments or managers with its instructions of compliance within specified time limits assigned to
each of them. The auditee will collect the reports of compliance, will verify and arrange in
chronological order against each point of recommendation.
15. Report Retention:
Auditee should retain the audit report alongwith its compliance report and should show
them to the authorities on demand. Such retained audit reports will show the history of safety
improvement of the auditee. Minimum time of retention is till full compliance of the audit report.
Cost benefit ratio can also be determined based on this.
If compliance or follow-up audit is required by the same auditors, auditee or client should
inform them accordingly.
Report as BIS 14489:
Safety Report:
Statutory information required in a safety report is given in Sch. 8, Rule 10(1) of the
MSIHC Rules, 1989
Before 90 days of any modification (having material effect), an updated Safety Report shall
be submitted to the authority.
ILO Code of Practice for Major Accident Control:
Prevention of Major Industrial Accidents (Control 174 & Recommendations 181 of 1993)
This convention was adopted on 22-6-1993 and provides following parts
 Scope and Definitions.

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  General principles.
 Responsibilities of Employers - Identification, Notification of installation. Arrangements of
installation. Safety report and Accident reporting.
 Responsibilities of Authorities - Offsite emergency plan. Sitting of MAJH installations and
inspecting staff for them.
 Rights and Duties of workers and their representatives.
 Responsibility of Exporting States and
 Final provisions.
Supplementing above convention, Recommendation was also adopted on the same day
which provides for exchange of information with ILO on safety management, process safety, major
accidents, lessons from near misses, technical and medical control measures and systems to
compensate workers.
See MSIHC Rules 1989 and Rule 68J of GFR incorporating intention and details' of above
Convention and Recommendation. Each MAH installation employing shall employ one Safety
Officer.
Standards and Codes of Practice:
Further guidance is provided in codes of practice to be used as reference work by any one in charge
of formulating detailed regulations or responsible for the occupational safety and health. More than
20 codes of practice have been drawn up so far, covering either different sectors of activity (such as
a mines, agriculture, forestry, construction and public works, ship building and repairing, iron and
steel), or particular risks (lionizing radiation, noise and vibration, exposure to airborne harmful
substances). Codes of practice indicate "What should be done, they are. prepared by meetings of
experts and their publication is approved by the ILO Governing Body.
These codes are further being supplemented by Guides .or Manuals often taking the form of
illustrated texts showing practical ways of solving various problems at plant or work level; e.g.
Dust prevention in Mining, Tunneling and Quarrying; Guide for Labor Inspectors; Accidents
prevention (A Workers' Education Manual), Guide on Forestry Work; Guide on Safety in
Agricultural Work and a series of manuals on Industrial Radiation Protection, ranging from the
relevant Convection (No. 115) to the Mining and Milling of Radioactive ores.
It is fair to say that ILO standards have exerted considerable influence on the laws and regulations
of member country. Many texts have been modeled on the relevant provisions of ILO instruments;
drafts of new legislation or amendments are often prepared with ILO standards in mind so as to
ensure compliance with ratified Conventions or to permit the ratification of other Conventions;
trade unions use ILO standards to support arguments in bargaining and in promoting legislation;
Governments frequently consult the ILO both formally and informally, about the compatibility of
proposed texts with international labour standards.
The ILO has prepared a "Code of Practice of Major Hazard Control", The Code of Practice is
written in legislative style so that it can be a model for national legislation in this field.
I. Introduction
Integrated Management System (IMS)
ISO (International Organization for Standardization) has a membership of 164 national standards
bodies from countries large and small, industrialized, developing and in transition, in all regions of
the world. ISO’s portfolio of over 19200 standards provides business, government and society with

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practical tools for all three dimensions of sustainable development: economic, environmental and
social. ISO standards make a positive contribution to the world. They facilitate trade, spread
knowledge, disseminate innovative advances in technology, and share good management and
conformity assessment practices. Integrated management system combines all related components
of a business into one system for easier management and operations.
Integrated Management System (IMS)
An Integrated Management System (IMS) integrates all of an organization's systems and processes
into one complete framework, enabling an organization to work as a single unit with unified
objectives to achieve its purpose and mission. Organizations often focus on management systems
individually, often in silos and sometimes even in conflict. The integration of all the management
systems into a single system and centrally managed is defined as Integrated Management System.
On the part of the different structure of ISO standards, it is difficult to integrate the management
systems into integrated management system. This is the reason why ISO published Annex SL.
According to this
Annex SL, the new published standards will have the common High-level structure (HLS) with the
following 10 clauses as shown in Figure 1.

Class 1 Scope
Class 2 Normative references
Class 3 Term and definitions
Class 4 Context of the organization
Class 5 Leadership
Class 6 Planning
Class 7 Support
Class 8 Operation
Class 9 Performance evaluation
Class 10 Improvement

Integrated Management System, as shown in Figure 2, comprises of:

 ISO 9001:2015 - Quality Management Systems (QMS);
 ISO 14001:2015 - Environmental Management Systems (EMS);
 OHSAS 45001- Occupational Health & Safety Management Systems (OHSMS);

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  ISO 27001:2013 - Information Security Management Systems (ISMS).

ISO
9001:2015

ISO Integrated
Management ISO
27001:2013 14001:2015
System

OHSAS
45001

OHSAS 18001:2007 – Health And Safety Management System

Managing health and safety (OH&S) issues in the workplace represents an enormous challenge due
to varying human nature, skills set, process complexity & local culture and have implications for
everyone at the workplace. Effectively managing these issues means taking account not only of
legal requirements, but also the well-being of your personnel in the organization.
Purpose of OHSAS 18001
Management of health & safety issues for an organization considering all interested parties concern
is the main challenge of the business while working with significant hazardous process & risk.
Achieving OHS performance with improved well-being is the need to assure the regulatory bodies,
customers and other stack holders due to high premium cost for any incident. Certification to
OHSAS 18001 show the commitment to the health and safety of employees, demonstrates your
ability to manage risk & hazards associated with the activities and provide assurance to all
concerned including customers and management that legal compliance is effectively managed.
Implementation of OHSAS 18001 policies gives systematic approach to minimizing health and
safety risks and provide a framework for an organization to manage its legal compliance and
improve occupational health and safety performance, including risk and opportunity identification,
analysis, target setting, and measurement. Organizations are improving the health & safety status by
implementing the universally valid international standard along with best practices beside their own
country specific health & safety legislations. OHSAS 18001 is basic and globally recognized
standard for occupational health and safety management systems and is applicable to any
organization in any business sector.
Benefits of OHSAS 18001
 Implementing an effective occupational health and safety management system reduces the risk
of harm to your employees and other personnel and reduces overall liability. Effective
Management of Health nd Safety risks will help:
 Demonstrate your commitment to the protection of employee, property and plant.
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  Minimize the number of accidents and production time loss due to better control over hazards at
the workplace
 Focus on employee safety results in a satisfied, motivated and highly productive work team.
 Increase control and reduction of hazards through the setting of objectives, targets and evolved
responsibility.
 Maximize the well-being and productivity of all people working for the organization.
 Encourage better relationships with contractors and more effective contracted activities.
 Reduction in insurance premiums & workers compensation
 Demonstrates an innovative and forward thinking approach
 Ensuring legal compliance
 Improve safety culture & your reputation in the eyes of customers, competitors, suppliers, other
stakeholders and the wider community.
More about OHSAS 18001A
certificate issued by third party registrar to demonstrates that your business system has been
certified against requirements of OHSAS 18001 requirements. Implementation of OHSAS 18001
by setting up of internal processes gives confidence to management, employees & society at large
about the protecting the health & safety and managing risk to human being. OHSAS 18001 is an
international standard for environmental management, applicable to companies of all sizes and
types; certification to OHSAS 18001 provides a dynamic mechanism for the development of
effective health & safety management system. “Plan-Do-Check-Act” principle based cycle, OHSAS
18001: 2007 specifies the most important requirements to identify, control and monitor the risk &
hazards of any organization, and also how to manage and improve the whole system.
The OHSAS 18001 (Occupational Health and Safety Assessment Series) certification system is
developed by an association of national standard bodies, group of certification bodies/registrars, and
specialist of health & safety.
Features of OHSAS 18001
OHSAS series is designed to help organizations formulate occupational health and safety policies
and objectives containing two documents viz. OHSAS 18001 – OHS Requirements & OHSAS
18002 which generally known as guidance document for implementation of OHSAS 18001. It is
applicable to any organization, large or small, and within any business sector. OHSAS 18001 is
largely aligned with the structure of ISO 14001 and is based on the two concepts of continual
improvement and regulatory compliance.
OHSAS 18001 audit covers following:
 Policy statement (commitment of top management to improve OHS conditions)
 Hazard identification, assessment & control (evaluation of risk & its consequence on human
being)
 Legal & other requirements (ensuring stringent compliance to the law of the land)
 Documented objectives & targets (continual improvement)
 Resources, Role, Responsibility & Authority (making responsible every one)
 Competence, awareness & training (ensures availability of right person all the time)
 Communication, participation & consultation (ensuring everyone has to become part of OHS
management)

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  Documentation, Control of documents & records (for ensuring compliance)
 Operational controls(established safe working conditions) Emergency preparedness &
response (check your preparation to mitigate any emergency or abnormal situation)
 Performance measurement & monitoring (ensuring health & safety parameters)
 Incident, Nonconformity, corrective & preventive action (provides mechanism for
improvement)
 Management review (ensuring organization system is compiled)

OHSAS 18001 Accreditation

Certification Europe is an accredited certification body which provides International Organisation
for Standardization (ISO) management system certification and inspection services to organisations
globally. We hold OHSAS 18001:2007 accreditation with both the Irish National Accreditation
Bureau (INAB) and United Kingdom Accreditation Services (UKAS).
Accreditation is the process by which a certification body is recognised to offer certification
services. In order to become accredited, Certification Europe is required to implement ISO 17021
which is a set of requirements for certification bodies providing auditing and certification of
management systems. Certification Europe is audited annually by our accreditation bodies to ensure
our services meet the exact requirements of the relevant accreditation standards.
Please visit Our Accreditation page for further information on our accreditation.
What industries implement OHSAS 18001:2007?
OHSAS 18001 is implemented by a wide variety of industries. The Health and Safety standard can
benefit any organizations that choose to implement it. If you have a workforce of 5 or 500 then
OHSAS 18001 will benefit you immediately. The purpose of the management system is to put the
focus on the employees and ensure best practices are being implemented. Effectively implementing
the standard results in a safer working environment for your workforce, plus reduce risk and
liability exposure on the organisation.
OHSAS 18001:2007 Training
Certification Europe can provide in house training for your staff on implementation and auditing
your systems internally to OHSAS 18001. Contact our team today to learn more.

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Eliminating risks and hazards:
OHS hazards & its risk to human being are identified by a team of experts considering extent of
application, nature of activity & conditions in which it operates. Identified risk are prioritized by
making objective to reduce its significance level by giving a frame work of management programs
which identify the resources & approach to achieve the desired goal. Timely review of achieved
objective & new process area will direct the organization to set the next goal towards improvement
in health & safety status.
Certification Process for OHSAS 18001
DQS Certification India appoints a competent & suitable auditor or team of auditors to audit the
organization against the standard & scope requested by the clients. Client has to file an application
seeking standard for which to be certified. Gap analysis may be performed first to check readiness
for the auditee organization which help organization to improve upon. Routine surveillance audits
are carried out to evaluate continual improvement in the validity period. A re-certification audit is
performed after every three years to maintain continuity of the certification.

OHSAS 18001 Certification

The most important asset of every organization would be their employees. Every company performs
best when its employees are generating the best results and are optimizing on the quality being
delivered. It should be the aim of every company to achieve the maximum returns for your
employees. For this you would have to implement quality standards in the occupational health and
safety management system.
We at IRQS understand the need of such a certification in today’s world. Most employees in the
world today would trust an employer with an OHSAS 18001 quality standard in place. The obvious
reason being this is the high level of safety that is provided to the organization’s work force. When
you have such a standard in place, it means that the company is taking a stronger step towards
occupational health – a prime necessity of every employee.

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To have an OHSAS 18001 certification, you would have to implement different approaches toward
the standard. You would have to discover the best ways to put certain processes and practices into
place. Understanding the framework of your organization would not be easy, but you would have to
detect weak links all across and optimize them for best performance.
When you have an occupational health and safety management system in place, your employees
would be more dedicated towards your business and would want to perform better. It would mean
an increase in output for the company and thus result in higher profitability. There would be many
factors to audit even after the certification is complete. This ensures that the level of quality is
always maintained and kept at its peak. Believe it or not, many employees choose companies that
are OHSAS 18001 certified only. Mainly because it signifies a growing and responsible company, a
trait that every employee looks for. If you were to point out your organizations most important
asset, it would have to be your employees. They are the blocks of success for your company. Every
company performs best when its employees are generating the best results and are optimizing on
the quality being delivered. But how can this be ensured? By implementing an OHSAS 18001
Certification. We at IRQS understand the need of such a certification in today’s world. Most
employees in the world today would trust an employer with an OHSAS 18001 quality standard in
place.
What is OHSAS 18001 Certification?
An occupational health and safety management system will place the basic requirements for a safe
and secure environment. This will ensure that your business practices the right methods and
standards to give your employees a safe and secure time at work.
To have an OHSAS 18001 certification, you would have to implement different approaches toward
the standards. You would have to discover the best ways to put certain processes and practices into
place.
Benefits of OHSAS 18001 Certification
When you have an occupational health and safety management system in place, your employees
would be more dedicated towards your business and would want to perform better. It would mean
an increase in output for the company and thus result in higher profitability.
ISO 45001
The issue of work-related injuries and diseases is significant and growing, both for employers and
the economy. To combat this problem, ISO is developing a new standard named ISO 45001
(Occupational health and safety management systems - Requirements) that will help organizations
reduce this burden globally by providing a framework to improve employee safety, reduce
workplace risks and create better, safer working conditions. The standard is currently being
developed by a committee of occupational health and safety experts and will follow other standard
management system protocols approaches such as ISO 14001 and ISO 9001. It will take into
account other International Standards in this area such as OHSAS 18001, the International Labour
Organization's ILO-OSH Guidelines, various national standards and the ILO's international labor
standards and conventions. The standard is targeted to be published in March of 2018.

Development
It has been announced that a Final Draft International Standard will be published on 27 November
2017. The ISO Second Draft International Standard was published in March 2017 by the ISO. On

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20 July 2017, it was announced that the ballot showed 88% of National Standards' Bodies supported
the 2 DIS. The Drafting Group meeting in Malaysia in mid-September 2017 finished processing
1600 comments. The ISO/PC 283 committee is responsible for ISO 45001's development. The
project was first approved on 25 October 2013[5] following the committee's inaugural meeting held
in London, UK. If you have certification to OHSAS 18001 you need to migrate to ISO 45001 to
maintain the validity of the certification. To correct the foregoing sentence: ISO and BSI are two
different organizations, and certification to each is a separate process. Therefore a new application
and certification will be required for ISO 45001. OHSAS 18001 will be withdrawn three years after
the publication of ISO 45001.
Moving forward, the committee established a plan for the development and publication of the
standard:
 The new proposed publication date is now March 2018
 The drafting committee published the second draft in March 2017 which passed the Ballot with
88% support.
 ISO/DIS Published January 2016, with ballot due May 2016. The ballot to approve the Draft
failed by a few votes.
 ISO/CD 45001 a second Committee Draft was published in March 2015.
 ISO/DIS 45001 (first draft international standard) could not be published by February 2015 as
planned, because the first committee draft failed to secure the necessary two-thirds majority
vote in the International Organization for Standardization (ISO) committee developing it on 18
October.
 ISO/CD 45001 (first committee draft) was published in May 2014.
Assuming timescales are accurate, the standard will be called ISO 45001:2018, per the usual
naming convention for standards published by the International Organization for Standardization.
It is hoped that ISO 45001 will attain more international recognition, aiding the response to
published statistics showing poor health and safety management costs around 4% of global GDP.
Similar to existing standards like OHSAS 18001, which will be withdrawn, and ILO-OSH, the new
international standard's impact has the potential to save lives, reduce work-related ill-health and
accidents and improve employee morale.
Aim of an OH&S management system:
The purpose of an OH&S management system is to provide a framework for managing the
prevention of injury and ill-health. The implementation of an OH&S management system can be
a strategic decision for an organization.
An organization‘s activities can pose a risk of injury or ill-health, consequently it is critically
important for the organization to eliminate or minimize OH&S risks by taking appropriate
preventive measures. When these measures are applied by the organization through its OH&S
management system (supported by the use of appropriate methods and tools, at all levels in the
organization) they proactively improve its OH&S performance.
The intended outcome for an organization's OH&S management system is to prevent injury and ill-
health, to improve and enhance the safety and health of its workers and the others persons under its
control.
An OH&S management system can enable an organization to improve its OH&S performance by;
a) Developing and implementing an OH&S policy and OH&S objectives;

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b) Establishing systematic processes which consider its "context" and which take into account its
risks and its opportunities, its legal requirements and the other requirements to which it subscribes;
c) Determining the hazards and OH&S risks associated with its activities; seeking to eliminate
them, or putting in controls to minimize their potential effects;
d) Establishing operational controls to manage its OH&S risks, and to comply with its applicable
legal and the other requirements;
e) Increasing awareness of its OH&S risks;
f) Evaluating its OH&S performance and seeking to improve it;
g) Establishing the necessary competencies;
h) Developing a positive health and safety culture in the organization;
i) Ensuring the consultation and participation of the workers.
Success factors
The success of the OH&S management system depends on leadership, commitment and
participation from all levels and functions of the organization.
The implementation and sustainability of an OH&S management system, its effectiveness and its
ability to achieve its objectives are dependent on a number of key factors which can include:
a) Top management leadership and commitment;
b) Promotion of a positive health and safety culture;
c) Participation of workers (and, as applicable, their representatives);
d) Consultation – two way communication;
e) Allocation of the necessary resources for sustainability;
f) Clear OH&S policies, which are in line with the overall strategic objectives of the organization;
g) The integration of the OH&S management system into the organization's business processes;
h) The continuous evaluation and monitoring of the OH&S management system to improve OH&S
performance;
i) OH&S objectives that align with the OH&S policy and reflect the organization's OH&S risks;
j) Awareness of its applicable legal and other requirements;
k) Identification of hazards and control of the OH&S risks.
Demonstration of successful implementation of this International Standard can be used by an
organization to give assurance to workers and other interested parties that an effective OH&S
management system is in place.
Adoption of this International Standard, however, will not in itself guarantee optimal outcomes.
The level of detail, the complexity, the extent of documented information, and the resources needed
for an organization's OH&S management system will depend on a number of factors, such as:
 The organization’s context (e.g. its number of workers, its size, its geography, its culture, its
social conditions, its applicable legal and other requirements);
 The scope of its OH&S management system;
 The nature of its activities, its products, its services, and its OH&S risks.
"Plan, Do, Check and Act" cycle
The basis of the OH&S management system approach applied in this International Standard is
founded on the concept of ―Plan, Do, Check and Act‖ (PDCA), which requires leadership,
commitment and participation from all levels and functions of the organization.

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The PDCA model demonstrates an iterative process used by organizations to achieve continual
improvement. It can be applied to a management system and to each of its individual elements. It
can be described as follows:
 Plan: establish objectives, programmers and processes necessary to deliver results in
accordance with the organization‘s policy.
 Do: implement the processes as planned.
 Check: monitor and measure activities and processes with regard to the policy and,
objectives, and report the results.
 Act: take actions to continually improve the OH&S performance to achieve the intended
outcomes.
Contents of this International Standard
This International Standard has adopted the ―high-level structure‖ (i.e. clause sequence, common
text and common terminology) developed by ISO to improve alignment among its International
Standards for management systems.
This International Standard does not include requirements specific to other management systems,
such as those for quality, environmental, security, or financial management, though its elements can
be aligned or integrated with those of other management systems.
Clauses 4 to 10 contain requirements that can be used to assess conformity. Annex A provides
informative explanations to assist in the interpretation of those requirements.
Scope
This International Standard specifies requirements for an occupational health and safety (OH&S)
management system, with guidance for its use, to enable an organization to provide safe and
healthy working conditions for the prevention of injury and ill-health and to proactively improve its
OH&S performance.
This International Standard is applicable to any organization that wishes to: establish, implement
and maintain an OH&S management system to improve occupational health and safety, eliminate or
minimize OH&S risks and address OH&S management system nonconformities associated with its
activities.
b) Continually improve its OH&S performance and the fulfilment of its OH&S objectives;
c) Demonstrate conformity with the requirements of this International Standard.
This International Standard is intended to be applicable to any organization regardless of its size,
type and activity and applies to the OH&S risks that the organization determines it can manage,
taking into account factors such as the context in which the organization operates and the needs and
expectations of its workers and other interested parties.
This International Standard does not state specific criteria for OH&S performance, nor is it
prescriptive about the design of an OH&S management system.
This International Standard enables an organization, through its OH&S management system, to
integrate other aspects of health and safety, such as worker wellness/ wellbeing. The organization
can also be required by applicable legal requirements to address such issues.
This International Standard does not address issues such as product safety, property damage or
environmental impacts, beyond the risks they provide to workers.

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