How safety auditing is carried out?
1. Define the Audit Objectives
📋Why are you auditing? (e.g., compliance, gap analysis, performance improvement)
📋Set the scope (area, department, activity, or full organization).
2. Prepare an Audit Plan
📋Fix the schedule & frequency (monthly, quarterly, annually).
📋Identify audit criteria (legal requirements, ISO standards, company policies, SOPs).
📋Prepare audit checklists covering safety procedures, equipment, training, housekeeping, 📋PPE, emergency readiness, etc.
📋Assign the audit team.
3. Notify & Communicate
📋Inform relevant departments in advance.
📋Share audit scope and tentative dates so people are prepared.
4. Opening Meeting
📋Auditor explains audit purpose, scope, and method.
📋Confirm cooperation and availability of records.
5. Conduct the Audit (On-site)
📋Observation: Inspect workplace, equipment, housekeeping, emergency exits, fire safety, etc.
📋Interviews: Ask workers and supervisors about procedures, training, and practices.
📋Document Review: Check permits, training records, risk assessments, inspection reports, accident logs, safety policies.
📋Sampling: Test whether rules are followed consistently (e.g., random PPE compliance).
📋Record findings as compliance / non-compliance / opportunities for improvement.
6. Closing Meeting
📋Summarize findings to management and employees.
📋Highlight major non-conformities immediately (if serious risk is found).
📋Agree on timeline for corrective actions.
7. Audit Report Preparation
📋Report should include:
📋Audit scope & criteria
📋Methodology
📋Observations & findings (positive & negative)
📋Risk level of non-compliance
📋Recommendations / corrective actions
8. Corrective & Preventive Action (CAPA)
📋Assign responsible person & deadline for each finding.
📋Track actions until closure.
9. Follow-Up / Re-Audit
📋Verify if corrective actions were implemented effectively.
📋Close the audit only when compliance is achieved.
👉 This cycle continues regularly, making safety auditing an ongo
ing process of monitoring, improvement, and compliance.
S.No. Compliance Point Applicable Act / Legislation Issuing Authority
ReplyDelete1 Certificate of Incorporation Companies Act 2013 Ministry of Corporate Affairs
2 CLRA Principal employer Registration Contract Labour act 1970 Labour Dept
3 PF Employer Registration EPF act 1952 EPFO
4 Commissioning Certificate Electricity Act 1923 Chief Electrical Inspectorate
5 Evacuation Approval Electricity act Chief Electrical Inspectorate
6 ESI Employer Registration ESI act 1948 ESIC
7 Onsite Emergency Plan Factories act 1948 Factories Dept.
8 Host Country Approval Kyoto Protocol UNFCCC
9 CDM Registration (UNFCCC) Kyoto Protocol UNFCCC
10 Forest Clearance Forest (conservatin) Act Ministry of Environment & Forests
11 Panchayat Permission Gram Panchayat Act Gram Panchayat
12 Permanent Account Number/GST Income tax act Income tax dept.
13 Tax Deduction Account Number(TAN) Income tax act Income tax dept.
14 PPA Electricity Reforms Act No 30 of 1998 Agreement between company and concerned State govt.
15 Professional Tax Registration Professions, Trades, Callings & Empl. Act, 1987 Commercial tax officer
II Registrations with Renewals
1 Consent to Operate (As per Air Act & Water Act) Water Prevention and Control of Pollution act NA
2 Consent for use of DG set for industrial use Water Prevention and Control of Pollution act NA
3 Energy meter calibration Electricity Reforms Act No 30 of 1998 AP TRANSCO
4 Electrical Inspectorate inspection and compliance (CEIG) Electricity Reforms Act No 30 of 1998 Chief Electrical Inspectorate
5 Employee men Compensation Policy Employees compensation act 1923 Insurance agency
8 Hazardous waste authorization Environment (Protection) Act 1986 and Rules 1994 NA
9 Submission of Environmental audit Statement The Environment (Protection) Act, 1986 and Rules, 1986 NA
12 Testing of Lifting Devices and tools (chains, ropes, EOT, etc) Factories Act NA
13 Drinking water testing certificate Factories act Factories Dept.
14 Transformer oil testing Factories Act Authorised Agency
15 Factory license Factories act 1948 Factories Dept.
16 NOC from local fire department Factories act 1948 Fire Department
17 All process instruments calibration Factories Act Authorised Agency
18 All electrical Numeric relays Factories Act Authorised Agency
19 Annual health checkup of identified employees Factories act Authorised Hospital/Health Center
20 Eye testing of Drivers, Crane / Hydra Operators Factories act Authorised Hospital/Health Center
21 Gram Panchayat Tax Gram Panchayat Act Gram Panchayat
22 Policy under Gratuity Act Payment Of Gratuity Act Insurance agency
23 Group Personal Accident Policy The Insurance Act IRDA 1938 Insurance agency
24 CGL Policy Public Liability Insurance Act Insurance agency
25 Industrial All Risk (IAR) Policy Public Liability Insurance Act Insurance agency
26 Money Insurance Policy Public Liability Insurance Act Insurance agency
27 Group Mediclaim Policy Employee benefits Insurance agency
28 License to store petroleum products Petroleum act 1934 NA
29 Levy and collection of water cess The Water (Prevention and Control of Pollution) Cess Act, 1977 and Rules, 1978 NA
30 Labour Welfare Fund Labour Welfare Fund act Labour Dept