1 Safety Management System

8/3/2019 1 Safety Management System

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SAFETY MANAGEMENT SYSTEM

CTW 100 - SECTION A - AZ ZABIRAH - RAS AZZAWR

SEGMENT 7 - DIRECT LINK

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KINGDOM OF SAUDI ARABIA

NORTH SOUTH RAILWAY PROJECT

NSR

(i)

-


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Drafted by :TSO

Ref. : SMS 0606 Rev. : 0

Follow-up of document

VALIDATION OF DOCUMENT

NAME AND FUNCTION Visa and date

Fabrice BARBEAU 09/10/06


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CONTENTS

NSR ............................................................................................................................................................................1

II. GENERAL ORGANIZATION ..................................................................................................................................5

A. POLICY AND ENGAGEMENT ............................................................................................................5B. OBJECT, APPLICABILITY AND DELIMITATION OF WORK ..............................................................6C. REFERENCE DOCUMENTS ..............................................................................................................6D. LIST OF PARTIES ..............................................................................................................................6

1. Contracting authority, Engineer and contractor ................................................................................... 62. Possible supplier ...................................................................................................................................73. Further information ..............................................................................................................................7

III. ORGANIZATIONS OF CONTROL AND SERVICE ...............................................................................................7

IV. ORGANIZATION OF SAFETY ..............................................................................................................................8

A. ORGANISATION CHART, AUTHORITIES AND RESPONSABILITIES OF THE MANAGEMENTTEAM ...............................................................................................................................................8

1. Project Director ....................................................................................................................................82. Project Manager ................................................................................................................................... 83. Deputy Project Manager .......................................................................................................................84. Safety Manager .................................................................................................................................... 9

5 R i t d S f t Offi 9


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A. PURPOSE .........................................................................................................................................15B. PARTICIPATION ...............................................................................................................................15C. FREQUENCY ....................................................................................................................................15D. PROCEDURE ...................................................................................................................................16E. TOPICS .............................................................................................................................................16

XI. INCIDENT INVESTIGATION AND ANALYSIS ....................................................................................................16A. OBJECTIVES :..................................................................................................................................16B. TREATEMENT :................................................................................................................................16C. REPORTING :...................................................................................................................................17D. SAFETY COMMITTEE MANAGER ...................................................................................................17E. INCIDENT REPORT PROCEDURE ..................................................................................................17

XII. IN-HOUSE SAFETY RULES AND REGULATIONS ...........................................................................................17

A. RULES AND REGULATIONS ...........................................................................................................17B. PERSONNAL PROTECTIVE EQUIPMENT ......................................................................................17C. COLOUR OF SAFETY HELMET .......................................................................................................18

XIII. SAFETY PROMOTION ......................................................................................................................................19

XIV. EVALUATION, SELECTION AND CONTROL OF SUB-CONTRACTOR ........................................................19

A. OBJECTIVES :..................................................................................................................................19B. COVERAGE :....................................................................................................................................19

XV MAINTENANCE REGIMES FOR ALL CONSTRUCTION PLANT EQUIPMENT AND TOOLS 21


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II. GENERAL ORGANIZATION

A. POLICY AND ENGAGEMENT

This policy applies to the Environmental aspects and Safety concerning the project ..

The elements of the policy expressed by the Management of the Construction site are declined according tofollowing points:

Adoption of a strategic vision by optimizing in a durable way the use of human, material and financial

resources available.

Improvement of the quality of our products and services by regularly measuring the level of satisfaction of

our customers to be able to satisfy in all circumstances their expressed and implicit needs.

The satisfaction of our partners by permanently adapting to current and future expectations of our

customers, collaborators, board of trustees and public bodies.

The involvement and training of the collaborators to give them in a targeted way increasing responsibility

and continuous training.

Ensure the Environmental protection, health and safety of our employees by protecting their working station

and by developing a methods and procedures respectful of the environment.


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B. OBJECT, APPLICABILITY AND DELIMITATION OF WORK

The direction of the construction site ensures the respect of this S.M.S. This plan defines all the elementsof organization contributing to the respect of safety and makes reference to the general procedures,procedures specific, process or instructions of building site.

C. REFERENCE DOCUMENTS

Contract documents STTSO documentsThe form of tender with attachments Quality Manual Management (QMM)

The particular conditions and appendices Safety Management Manual (SMM)

The specifications (the particular specification withappendices, the general specification withappendices, design criteria and performancespecification, the materials and workmanshipspecifications and, the drawing and CAD standard)

ProcessusGenerales and specifiques procedures


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2. Possible supplier

Refer to the Project Quality Manual

3. Further information

Period of execution

Beginning of work :

End of work : ..

Schedules of work

Day :

.

Night : Only in exceptional circumstances

manpower

Average :

Maxim um :

Staging Area .

Office

Work Site .


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IV. ORGANIZATION OF SAFETY

A. ORGANISATION CHART, AUTHORITIES AND RESPONSABILITIES OF THE MANAGEMENT TEAM

Project Director

Project Manager Deputy ProjectManager

Safety Manager

Works TrainSafety Team

Storage aeraSafety Team

Lifti ti L i t k


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4. Safety Manager

The Safety Manager reports directly to the Project Director and is in charge of the definition and application of theon Site Safety Management System. He is overall responsible for the general safety. His responsibility includes :

Setting up the safety organisation. Particularly he draws up the Site Safety Plan and the associated

procedures. Ensuring that suitably qualified Registered Safety Officers (RSO) are employed. Ensuring that suitably qualified Registered Environmental Control Officers (RECO) are employed. Ensuring that suitably experienced Site Safety Supervisors (SSS) are employed. Ensuring compliance with applicable Health and Safety legislation NSR requirements. Liaising with Publics Bodies on site safety matters generally. Liaising an co-ordinating in terms of safety matters, including safety meetings, inspections and other

relevant matters pertaining to safety where necessary. Establishing emergency preparedness procedures in collaboration with Police, Fire and Emergency Medical

Services. Ensuring that reviews, audits and safety training are ongoing. Supervising the hazard identification system. Act as Secretary to the Safety Committee and assist it.

5. Registered Safety Officer

Advice the occupier, Project Manager or any other person in-charge of the worksite on the measures to betaken in the interest of Safety and Health of the persons employed therein ; with the approval of such

i P j t M i l t h


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6. Registered Environmental Control Officer (RECO)

The Registered Environmental control officer is to ensure the construction site is free of environmental healthhazards. The RECO reports to the Safety Manager.

The RECO is responsible for :

Preparing & submitting a Site Environmental Control Programme in accordance to the prescribed format tothe occupier of the construction site at least three weeks before work commences on the worksite.

Advising the occupier, Project Management via the Safety Manager or any other person in charge of theworksite on what needs to be done for conditions/situations which cause environmental health problems orare likely to cause environmental health problems.

Implementing such measures, with approval of such occupier.

Inspecting the worksite to ensure all facilities and equipment relevant to the maintenance of environmental

health are in proper working condition and do not pose any environmental health hazard.

Pointing out and discussing environmental health irregularities such as mosquito and fly breeding, rodentinfestation, noise/dust/smoke/water pollution, poor housekeeping, earth littering, poor refuse management,poor maintenance of sanitary facilities, etc. with the occupier of the construction site and recommendmeasures to rectify such irregularities.

Attending to all feedback on such irregularities and inform the occupier of the construction site accordingly.

Reporting and submitting a site Environmental Control Report in accordance to the prescribed format to the

i f th t ti it f t i ht th 1st d 15th f th th


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Use an audible signal communication system if the above statement is not complied. (E.g. walky talkie,handphone).

Take measures to ensure safe lifting operation and rectify any unsatisfactory or unsafe condition reported.

Ensure that receptacle is used when lifting any loose load to prevent the load or part of it falling out duringthe lifting operation.

Check the lifting gears/tackles every 3 months to ensure their safe working condition and colour it accordingto the coloured code.

Monitor and ensure that the mechanics carries out the maintenance for the crane every 3 months.

Responsible for the safety of all lifting operation.

9. Rigger

Ensure that the load to be lifted is secure, stable and balanced.

Report any defect in the lifting gears/tackles to the Lifting Supervisor.

10. Signalman

Responsible for all signalling used in the lifting operation.

Give correct and clear signals to guide the crane operator in the manoeuvre of the load safely to itsdestination.

R t ti f t f diti t th Lifti S i


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V. SAFE WORK PRATCICES

STTSO will establish and maintain detailed procedures to ensure that safe work practices are followed. Theseprocedures shall incorporate instructions stated in the relevant standards, codes and statutory regulations. STTSOwill establish a list of all statutory requirements and establish a procedure to update this listing.

All safety critical activities are identified in the risk analysis report. Before commencement of work, STTSOprepare Permit-to-work for each routine high risk work activity. (Cf. Risk analysis report)

Objectives :

To eliminate unsafe acts

To prevent accidents by reducing excessive risk taking

To serve as training material and checklist for supervisors on specific operation

Coverage :

Electrical works

Housekeeping

Manual handling

Lifting operation by cranes

Fire prevention

Cables laying and trackside installation

Hot work

Working at height

W ldi d tti


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C. SAFETY ORIENTATION COURSE (SOC) :

All workers regardless of nationality at the work site must complete this course.

This course is conducted in English

Those employees without the certificate will not be allowed into the site.

A copy of the SOC certificate of every employee must be submitted to the safety section of CTW before start ofwork.

D. CWCS SAFETY ORIENTATION COURSE

This training is conducted for workers by CTWs before they start work.

The workers are brought around on a site tour and the classroom briefing The orientation may consist of :

General safety rules and regulations,

Personal protective equipment,

Housekeeping,

Accident reporting,

Emergency evacuation procedures,

Permit-to-work system,

C f t i


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VII.GROUP MEETINGS

STTSO will establish a communication system among managers, supervisory personnel, safety personnel,workers and sub-contractors. The communication system shall consist of the co-ordination meeting, safety

committee meeting, tool box meeting

A. PURPOSE :

To serve as an avenue for discussion on remedies for hazards.

To update on technological advance in terms of safety.

To ensure an effective site safety committee meeting.

To comply with factories (safety committee) regulation.

B. OBJECTIVE :

Group meetings are an important method of successful supervisor employee communications by makingeffective use of communication time by allowing employee participation and providing equal exposure to vitalinformation. These meetings can also help to create a co-operative communication climate, encourage team sprit,and enhance the supervisors leadership role.

VIII SAFETY COMMITTEE


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The Committee will discuss the cause of the accident, incident, dangerous occurrence ornear miss and recommend measures to be taken to prevent a recurrence of such accident or dangerousoccurrence.

C. ORGANISE PROMOTIONAL ACTIVITIES

STTSO, through the Site Safety Committee, will participate or organise its own contest,competition or other activity held to promote the safe conduct of work in the Site.

D. SAFETY RULES AND REGULATIONS

The Site Safety Committee will prepare a set of rules and regulations which will promote thesafety, health and welfare of the workmen.

STTSO display a copy of these rules and regulations on Site, translated into languages

which the workers can understand.

E. MONTHLY SAFETY TALK

At the monthly meeting, one of the members of the Site Safety Committee will give a talk onsafety and health at work on the Site, and the talk will be followed by a discussion by the Committee.

The Chairman, will appoint the Registered Safety Officer and the Site Safety Supervisors toconduct daily tool box meetings to the workforce so as to promote the safety and health of workers onthe Site and for the guidance of the persons employed therein.


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D. PROCEDURE

To arrange for the employees to gather at scheduled time

To inform the site safety officer or safety manager before commencement of the meeting.

Workers should be encourager to bring up hazard, and unsafe conditions present at the work area during themeeting.

To constantly train workers on safe work procedures

To educate the employees in order to prevent accidents

To inform employees about the proceedings of the site safety committee meeting

To keep a record of the date, time, attendance of the participants and the details of the meeting at least once ina week

The meeting shall be at least 10 minutes and not to exceed 20 minutes

One or some of the suggested topics may be propagated or discussed

E. TOPICS

Safety rules and regulations

Safety work practices


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C. REPORTING :

After receiving medical attention, the injured workman shall inform his/her immediate superior within 24 hoursfrom the accident happened either through writing or with the following data for investigation purposes :

Date and time of accident,

Place of accident took place,

Brief description of accident, Part of body injured,

Witness of the accident, if any,

Duration of medical leave, if any,

Contact telephone number if medical leave more than 3 days.

D. SAFETY COMMITTEE MANAGER

He shall comment on the accident case and if necessary he may call for a board of enquiry for further

investigation to the accident.

E. INCIDENT REPORT PROCEDURE

Refer toAppendix n 3

XII. IN-HOUSE SAFETY RULES AND REGULATIONS


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C. COLOUR OF SAFETY HELMET

Personnel Coulor of safety Helmet

Contractors site agents and foremen White red stripe

Sub-contractors and supervisory staff of sub-contractors

Yellow with red stripe

Registered safety officers, safety supervisors Blue

Lifting supervisors BrownRiggers * RedSignallers * YellowAll other workers Yellow

* In addition to the helmet colour codes, riggers and signalman will be provided with red reflective vest andidentification tags.


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XIII. SAFETY PROMOTION

STTSO will develop a safety promotional programme to demonstrate his commitment to advancing the safetyculture at the Site and reinforcing the concept that safety and construction are inseparable. The programme willenhance personal safety awareness and influence all attitudes and behaviour of all personnel on health, safety and

welfare.The programme will consist of general promotional activities which are carried out as part of a day-to-day

activity and high impact promotion activities which are carried out as a campaign to reinforce a particular safety pointat the Site. STTSO will organise a minimum of two safety campaigns for each calendar year.

Promotional materials and activities willinclude the following:

Display of safety policy on the site notice board,

Display of accident statistics,

Safety talks or screening of videos on safety in appropriate workers languages,

Display of signs, poster or other visual material, aimed at increasing safety awareness or to drawattention to particular safety issues,

The issue of safety handbooks or brochures aimed at increasing safety awareness.

STTSO will provide, erect, maintain and finally remove when ordered, an Accident Statistics Board 3m x 2min size written boldly in English, the content of which will include, at least, the following :

D


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STTSO will be responsible for ensuring his sub-contractors good safety performance. STTSO will :

Establish an effective ongoing programme that uses specific safety performance criteria for evaluation ofsub-contractors,

Stipulate safety performance in the contractual agreements between STTSO and sub-contractors,

Conduct meetings before bid submission to address specific safety requirements,

Include site specific safety, health and welfare requirements in bid packages,

Request safety and health information from each prospective sub-contractor and evaluate it during theselection process,

Establish specific training requirements for sub-contractors,

Conduct pre-job meetings to address job safety expectation;

Require formal sub-contractor safety orientations for all new employees at the Site; Review the safety performance of sub-contractors (Accomplishment of last safety programme (if any),

awards received from authorities and other agencies (if any), to submit monthly safety report on or before5th day of each month to the safety department. Report format will be issued prior to the workcommencement),

Maintain records of all sub-contractors in particular items related to legislative requirements. These willinclude incident reports, inspection reports, minutes of Safety Committee Meetings and safety statistics.


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XVI. HAZARD IDENTIFICATION AND RISK ASSESSMENT

A. PROCESS

Work procedureidentification

Standard or specific

Analysis of work processlimitations

Start

Start

art

jkopjpojopjkopStart

art

arSSart

art

artIdentification of potantial

hazards

Risk estimate

Risk evaluation

Assessment ofInitial Risk

Assessment ofresidual risk


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XVII. IDENTIFICATION OF RISKS SPECIFIC TO MAIN WORK PROCESSES.

Work process

Data ExaminationActivity

Methods

Regulatoryrequirements

Human andPhysical

Resources

Identify inherentRisks

Human FactorOrganisational Factors

Technical Factors

Work process

safetysheet


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C. FIRE EQUIPMENTS :

The means of immediate fight against fire (extinguishers) have to be accessible without obstacle.

The information developed will be documented and communicated as appropriate within the Site to ensure thatthe Site organisation can respond to emergency situations.

STTSO will establish a programme of training, drills and exercises to test and evaluate the preparedness foremergency actions.

STTSO will, once every six months, organise role playing emergency exercises based on likely site scenarii inwhich the key site personnel work through their emergency response roles. The Authoritys Safety Department willbe invited to this exercise as an observer.


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XIX. OCCUPATIONAL HEALTH

STTSO will plan and implement occupational health programmes on hearing conservation and respiratoryprotection. In addition, programmes for the prevention of industrial dermatitis and work-related back injuries andstrains shall be documented and implemented.

STTSO will provide education and training to all workers on the relevant health hazards, safe work practices andproper use of PPE.

XX.LIST OF APPLICABLE PROCEDURES

Documents Status

GeneralAvailable and& applicable

Exists toadapt

To becreated

Reference Associated Process (cf. S.M.M)

S.M.S S.M.S rv.

AContractual follow-up of the businessand the realization of the works

Record Control PRO 4011 Piloting and planning

Non-conformity reporting PRO 4006 Survey and measuring

Preventive and correctiveaction

PRO 4007 Piloting and planning


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A. CONTROL PLAN

The control plan will verify the effective implementation and it confers unity to the requirement of:

S.M.S.

Relevant procedures.

B. CONTROLS ORGANIZATION

Safety controls

Controls by ST-TSOand its partners

Controls by theCustomer


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International Project Division

DIVISION MANAGER

PROJECT DIRECTOR

Quality, Environment and

Safety Divisions

DIVISION MANAGER

QUALITY MANAGER E.H.S.E. MANAGER TECHNICALMANAGERCONSTRUCTIONMANAGER COMMERCIALMANAGER

TRACKSUPERVISOR

THIRD RAILSUPERVISOR

BALLASTSUPERVISOR

MACHINEOFFICEREQUIPMENT

SUPERVISOR

DESIGNENGINEER

SURVEYOR

PLANNING

ENGINEER

PROCUREMENTOFFICER

ACCOUNTING

QUALITYSUPERVISORIN

SPECTOR

Engineering Office

ENGINEERING OFFICEMANAGER

Contracting Authorities

Local Authorities

P.E.

L.E.W.

Licensed

Surveyor

Others

Contractors

AC AC

AC

AC

AC

AC

AC

External LinksHierarchicalLinks

FunctionalLinks

Auto-ControlAC

QUALITYE.H.S.

SUPERVISORINSPECTORS

Define improvementsrequired




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TSO 13/02/2012

Appendix 1


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APPENDIX N 2 SAMPLE WORK PROCESS SAFETY SHEET

D. MAJOR WORK PROCESS FORM

Project : CTW 100

(a) FICHE N 1

Work to be executedWorks in Staging Area :

- Receiving materials- Unloading- Storage, re-loading

- Various materials and equipments

Equipment used- Delivery Vehicles- Forklift- Lifting Implements- Containers- Tip / Bin


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APPENDIX N 3 ACCIDENT / INCIDENT / DANGEROUS REPORT

ACCIDENT OCCURRENCE REPORT FORM Page 1 of 6

Name of Main Contractor : Report Ref. No :

PART A (Type of Accident)

Major Accident (MOM reportable) Minor Accident (Non MOM Reportable)

LTA Staff Injury Public Member Injury

PART B (Details of Accident)

PROJECT : CONTRACT :

EXACT LOCATION :

OCCURRENCE DATE : OCCURRENCE TIME :

REPORTED DATE : REPORTED TIME :

PART C (Details of Injured Person)


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ACCIDENT OCCURRENCE REPORT FORM Page 2 of 6PART E (Details of Injury)

Use the following codes :

Nature of Injury Injured Bodypart

ABR : Abrasions/scratches BODY : Injury linked to entire bodyAMP : Amputation FEET : Feet/ToesASP : Asphyxia/Drowning HAND : Hand/FingersBCC : Bruises/Crushing/Contusions HEAD : Head/Face/NeckBN(C) : Chemical Burns LOWER : Lower Limbs (Legs)

BN(H) : Heat Burns TORSO : Shoulder to Groin/HipCCS : Concussion/Internal Injury UPPER : Upper Limbs (Arms)DEATH : Fatality NA : Not ApplicableDIS : DislocationELECT : Effects of ElectricityEYE : Eye InjuryFG : Faint/GiddyFT : FractureFZ : Freezing/Frostbite/HypothermiaHEAT : Heat stress and strain


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ACCIDENT OCCURRENCE REPORT FORM Page 3 of 6PART F (Description of Accident)


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ACCIDENT OCCURRENCE REPORT FORM Page 4 of 6PART G (Causes of Accident)

(1) Direct Causes

(i) Unsafe Conditions

Absence of safety means Congestion/restricted actionDressing/apparel hazard Environmental hazard (gas/dust/smoke)High temperature hazard Hazardous arrangementInadequate guarding Inadequate illuminationInadequate/improper PPE Inadequate ventilationInadequate warning system Improper/faulty equipmentNoise hazard Presence of fire/explosion hazard

Poor housekeeping Radiation hazardUnsound structure Others (key details into Remarks)No unsafe condition

Remarks :

(ii) Unsafe Practice

Careless/reckless Disregard instructions


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ACCIDENT OCCURRENCE REPORT FORM Page 5 of 6

(ii) Human Factors

Foul play Fatigue/stressInadequate capability IllnessImproper or lack of motivation/interest Improper assignment of personnel

Lack of knowledge Lack of skillLack of training Needs conflicting with safetyNot qualified Unsafe attitudeNon human factors Others (key details into Remarks)

Remarks :

(3) Weakness of Safety Management System

Safety policy Safe work practicesSafety training Group meetingsIncident investigation and analysis In-house safety rules and regulationsSafety promotion Evaluation, selection and control of SCSafety inspections Maintenance regime for all machineryHazard analysis Control of movement and use of Emergency preparedness hazardous substances and materials


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ACCIDENT OCCURRENCE REPORT FORM Page 6 of 6PART I (Details of Investigating Person)

NAME :

DESIGNATION :

COMPANY :

TEL : DATE : SIGN :

PART J (Reviewed By)

NAME :

DESIGNATION :

COMPANY :

TEL : DATE : SIGN :

PART K (Form Completed By)


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APPENDIX 4 SAFE WORK PERMIT

Serial No.................................Expires at 23.59 Hours

Date Time On Day of IssueThis permit is valid only for the day, time and period stated above. The conditions of issue must becomplied with throughout the duration of the work. This permit may be withdrawn at any time. You areresponsible for the copy of this permit and must produce it on request.

LOCATION

Specific Work To Be Performed

Does other work in the area present a hazard to this job?...........................................................................................................................................

SAFETY APPROVAL Conditions of Issue which must be observed.


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APPENDIX 5-1

NON-CONFORMITY SHEET No. :

Department: Valid from:

By the person in charge of operations concerned by NC (name): Signature:

Name of entity concerned by the NC:

Service: Workshop: Work site:

ilsofthenonconformity

Date the NC was reported: Audit

Location of the NC:

Followinginspection Minutes of Management review

Customer complaint

Description of the reported situation: Inspection of the workplace

Other (specify)

NC Labour


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Nonconformitylifted Date: Date:

Signature: Signature:

APPENDIX 5-2

ACTION SHEET CORRECTIVEPREVENTIVE

No......................

ORIGIN

Non-conformity sheet No..

CAUSE OF THE NONCONFORMITY: NATURE OF THE NC:

Labour

Measurement

Equipment


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Project Manager, Safety Manager, RECO

Name: Date: Signature:

VALIDATION AND VERIFICATION OF THE EFFICIENCY OF THE ACTION:

Project Director, Name: Date: Signature:


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APPENDIX 6 : PROCESS CONTROL SHEET Page 39 sur 46

Inputd

ata

Control points CriteriaAssessment

Observations AssessmentS A M I

Check that the input data:

1. Is defined C1

2. Is sufficient C3

3. Is required for the process's activities C2

4. Has clearly identified and known sources C1

Check that the input data required for each part of theprocess is:

1. Available E1

2. Formalized C4

3. Comprehensible E3

E. TRANSMITTED

1. To the right person E1

2. At the right time E1

3. Can be transmitted in case of malfunction E4

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Processa

ctiv

ities



Check that the processes' activitiesare:

1. Defined C1

2. Sufficient to achieve the expectedresult for the process

C3

3. Required to achieve the expectedresult for the process

C2

1. Available E1

2. Applicable E3

3. Under control E1

Check that the process-relatedinstruction sheets are:

1. Available E1

2. Formalized C4

3. Comprehensible E3

Transmitted



3. Can be transmitted in case ofmalfunction

E4

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Ou

tpu

tda

tafor

theprocess



Check that the output data/results for

each activity are:

1. Defined(in the process manualor the quality plan)

C1

2. Sufficient to perform the nextprocess activities

C3

3. Required to achieve the expectedresult for the process

C2

Check that the output data/results foreach activity are:

1. Recorded E1

2. In conformity C2

Transmitted



3. Can be transmitted in case ofmalfunction

E4

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Con

tro

lsan

dd

ev

iations



Check that the control plan is:

1. Defined C1

2. Applied E1

3. Effective E2

Check that nonconformities are:

1. DetectedE1

2. Recorded C4

Dealt with(or exempted from

control)E1

1. Checked and approved afteraction

E2

2. Followed up E4

Check that measuring instrumentsare:

1. Adequate C2

2. Serviced E1

3. Calibrated C2

4. Inspected and recorded on aregular basis C2

Check that customer complaints are:

1. Duly acknowledged and recorded E1

2. Dealt with as expected E2

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Reso

urces

/Work

ingenv

ironme

nt

1.

Human

Resources



Check that the staff concerned knows:

1. The process's input data E1

2. The process's activities E1

3. The process-related proceduresand instruction sheets

E1

4. The process's output data E1

Check that the human resources:

1. Meet requirements to executethe process. E2

2. Are used advisedly C2

1. Check that responsibilities aredefined. C1

2. Check that there are means tocompensate for faults.

E1

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Check that the machinery andequipment used:

1. Meets requirements E2

2. Is in conformity C2

3. Is monitored and checked E4

4. Is used advisedly C2

Check that there are means to

compensate for faults. E1

Working environment

1. Is it adequate for the process? E1

2. Is it suitable for storing (products,materials, equipment etc.) and/orbacking up data?

E3

3. Does it meet HSE standards? C2

4. Is it inspected on a regular basis(workplace inspections)?

E4

Overall assessment

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Scoring and rating criteria proposed for the 4 levels S/A/M/I

Conformity

ConformityS

SatisfactoryA

AcceptableM

MediocreI

InadequateCriteria

CompletePartial,

being extendedPartial,

need perceivedPartial,

need not perceived

Fully structured, fullyborne out by evidence

Fully structured, partialevidence available

Partially structuredVery partially or not atall structured

Existence of aStructure

Meets therequirements

Mainly meets therequirements

Partially meets therequirements

Not compliant withmost of therequirements

Conformity

concernsthe entire site, or thefield of application

Concerns manydepartments, beingextended on site

Only concerns a fewdepartments, on-sitedeployment notlaunched, needperceived

Only concerns a fewdepartments

Field of application

Fully formalizedPartially formalized,being developed

Partially formalized, noimprovements underway,but need perceived

Very partiallyformalized or not at all,need for improvementnot perceived

Formalization

OVERALLASSESSMENT%

S A M I

80-100 60-79 40-59 0-39

Notes: a/ Critical questions are in bold italics

b/ For the scores, refer to the "Criteria" box in the questionnaire,letter "C" or "E" indicates the type of question: Conformity or Efficiency,and number "1, 2, 3 or 4" indicates the corresponding criterion.

c/ Non-audited or irrelevant questions are not counted, and identified under "observations" by:

- NA: Not audited- N/A: Not applicable

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Scoring and rating criteria proposed for the 4 levels S/A/M/I

Efficiency

ConformityS

SatisfactoryA

AcceptableM

MediocreI

InadequateCriteria

CompletePartial,

being extended -some evidence

Partial,need perceived

Partial,need not perceived-hardly any evidence

Fully and rigorouslyunder control

Partially undercontrol(improvements inprogress)

Partially under control Not well under controlUnder control,

mastered

Giving the expectedresults

More or less givingthe expected results

Only partially achieving theexpected results

Hardly achieving any ofthe expected results

Expected resultsachieved

optimized Being optimized Optimization planned optimization not planned Optimization

Extension over time orcapitalizationguaranteed

Extension over timeor capitalization inprogress

Perceived need to extendover time or capitalize

Need not guaranteed andnot perceived

Extended over timeCapitalization

OVERALLASSESSMENT%

S A M I

80-100 60-79 40-59 0-39

Notes: a/ Critical questions are in bold italics

b/ For the scores, refer to the "Criteria" box in the questionnaire,

letter "C" or "E" indicates the type of question: Conformity or Efficiency,and number "1, 2, 3 or 4" indicates the corresponding criterion.

c/ Non-audited or irrelevant questions are not counted, and identified under "observations" by:

- NA: Not audited- N/A: Not applicable