ZC COP EHS11 Audits & Inspections

Higher Corporation for Specialized Economic Zones
HIGHER CORPORATION FOR

I SPECIALIZED ECONOMIC ZONES
CODE OF PRACTICE GUIDELINES ON
EHS AUDIT AND INSPECTION
Zones Corp COP-EHS11
APPROVED BY:
DATE:
CODE OF PRACTICE GUIDELINES

Document No ZC-COP-EHS11 Rev. No. 0 Date of Issue 21 Sept. 2008
Industrial Sector Environment Health & Safety Regulatory Framework Page 2 of 70

REVISION HISTORY

Rev. No. Issue Date Revised Section Revision Description
0 New Documents

Copyright

The copyright and all other rights of a like nature in this document are vested in Higher Corporation for
Specialized Economic Zones (ZonesCorp), Abu Dhabi, United Arab Emirates. This document is
issued as part of the Industrial Sector EHS Regulatory Framework and as guidance to Industrial
Sector within the Abu Dhabi Emirates. Any party within Industrial Sector may give copies of the entire
EHS Documents or selected parts thereof to their contractors/consultants for implementation of EHS
Management Standards. Such copies should carry a statement that they are reproduced by
permission of ZonesCorp and an explanatory note on the manner in which the document is to be
used.

Disclaimer

No liability whatsoever in contract, tort or otherwise is accepted by ZonesCorp or any party whether or
not involved in the preparation of the EHS Management System Documents for any consequences
whatsoever resulting directly or indirectly from reliance on or from the use of the ZonesCorp EHS
Documents or for any error or omission therein even if such error or omission is caused by a failure to
exercise reasonable care.

All administrative queries should be directed to the ZonesCorp EHSMS Administrator HSE Division

Higher Corporation for Specialized Economic Zones
P.O. Box: 36000, Abu Dhabi,
United Arab Emirates.
Telephone: (9712) 5073358
Fax: (9712) 5073564
Internet site: www.zonescorp.com
E-mail: hse@zonescorp.com



TABLE OF CONTENTS
1. PURPOSE 4
2. SCOPE 5
3. DEFINITIONS 6
4. EXISTING APPLICABLE LAWS 9
5 RESPONSIBILITIES 11
6. EHS AUDITS 13
7 AUDIT CATEGORIES 14
8 EHS MANAGEMENT SYSTEM AUDITING 15
9 EHS AUDIT TEAM 16
10 KEY STEPS FOR EHS AUDIT 18
11 SCOPE OF EHS AUDITING 19
12 EHS AUDIT PLANNING 21
13 MANAGING THE AUDIT PROGRAM 22
14 CONDUCTING THE AUDIT 24
15 EHS MANAGEMENT SYSTEM AUDIT COMPLIANCE SCORE 26
16 DOCUMENTING THE AUDIT FINDINGS 27
17 AUDIT REPORTS 29
18 EHS INSPECTIONS 30
19 EHS INSPECTION PROGRAM 31
20 REFERENCES 35
21 APPENDIX 1 INDUSTRIAL SECTOR EHS COMMITMENT & POLICY 36
22 APPENDIX 2 LIST OF EHS CODES OF PRACTICE 37
23 APPENDIX 3 EHS MS AUDIT BASIC REQUIREMENTS 39
24 APPENDIX 4: EHS AUDIT CONCERNS 58
25 EHS AUDIT CHECKLIST RECOMMENDED FORMAT 62
26 BUILDING EHS AUDIT CHECKLIST RECOMMENDED FORMAT 64
27 EHS INSPECTION CHECKLIST RECOMMENDED FORMAT 70


1. PURPOSE
This document establishes the ZonesCorp Regulatory Requirements and
provides guidelines to establish the basic framework and general
requirements for conducting EHS Audits & Inspections.
Industrial Sector Entities may develop their own procedure appropriate to their
organisations activities to meet or exceed the requirements stipulated in this
Code of Practice.
Environment Agency Abu Dhabi (EAD) being the Competent Authority of
EHS Management within Abu Dhabi Emirate has designated Higher
Corporation for Specialized Economic Zones ZonesCorp as the EHS
Regulatory Authority for the Industrial Sector within Abu Dhabi Emirate.
ZonesCorp in its Regulatory Role is the nodal agency for the Entities within
Industrial Sector while interacting with concerned Govt. Agencies (EAD, Civil
Defense etc.) for fulfilling the applicable regulatory requirements like EHS
Permitting etc.
The Higher Corporation for Specialized Economic Zones ZonesCorp being
the EHS Regulatory Authority for the Industrial Sector in the Emirate of Abu
Dhabi, has established the Environmental, Health & Safety Regulatory
Framework Codes of Practice to communicate the requirements of EHS
management as a key factor in successful business development to all
industries within the Emirate of Abu Dhabi. ZonesCorp considers the
establishment of priorities, programmes and practices as vital for integrating
good environmental, health & safety management into all entities business.
The Industrial Sector EHS Regulatory Framework has been established in line
with the requirements of UAE EHS Laws, Regulations and the Abu Dhabi
(EAD) EHS Management System Framework Documents for the Industrial
Sector. The system is also aligned with other international standards like
ISO14001, OHSAS18001 and BS8800 for Occupational Health.
The document is not addressing the requirements for monitoring for Integrity
Assurance of Equipment / Systems / Structures which are separately covered
in ZonesCorp Code of Practice on Integrity Assurance & Management (ZC-
CoP-EHS10). Any section / clause of this document shall therefore not
substitute any requirement of the above referred CoP.


2. SCOPE
The requirements outlined in this document are applicable to EHS
Management System Audit, EHS Audit & Inspection activities carried out in all
Operating Facilities, Buildings and Construction Worksites.
This document is applicable to all Entities within Industrial Sector in Abu
Dhabi Emirate.
The Industrial Sector includes but is not limited to Entities in Abu Dhabi
Industrial Cities (ICADs), Al-Ain Industrial Cities (AAICs), Western Region
Industrial Complex, Mussafah Industrial Area and Workers Facilities (Labour
Camps) for Industrial Sector within Abu Dhabi Emirate.
Wherever possible, and rather than providing detail within this document,
reference is made to other, more detailed documents that have been provided
in the ZonesCorp EHS Management System.


3. DEFINITIONS
3.1 Asset: Any person, environment, facility, material, information, business
reputation or activity that has a positive value to an owner.
3.2 Audit: An audit is a systematic, independent, and documented process for
obtaining evidence and evaluating it objectively to determine the extent to
which the audit criteria are fulfilled (ISO 19011:2003). Qualified professionals
with relevant auditing experience can conduct most audits and where
possible, independent external auditors should also be used.
3.3 EAD: Environmental Agency Abu Dhabi. Competent Authority for EHS
Management System in Emirate of Abu Dhabi
3.4 EEPP: Abu Dhabi Emirate Environment Protection Policy
3.5 EHS: Environment Health & Safety
3.6 EHS MS: EHS Management System.
3.7 EHS Audit
3.7.1 EHS audit is a systematic review of operations and practices to ensure that
relevant requirements are met. These are planned evaluations on
performance and compliance.
3.7.2 It is a structured, methodical assessment and evaluation of how workplace
activities affect Safety Health, and Environment. It reveals how an
organization is doing in maintaining a safe and healthy environment.
3.7.3 The basic goal of EHS audit is to verify that EHS activities comply with
organization policies and regulations.
3.7.4 This also covers the EHS-Management System Audit - An audit to verify
compliance with ZonesCorp and/or Tenant(s) EHS Management System
requirements and expectations
3.7.5 An independent, systematic and documented process of objectively obtaining
and evaluating verifiable evidence to determine that business controls:
a. Are complete and consistent.
b. Are (cost) effective and efficient.
c. Safeguard organizations resources and promote their effective use.
d. Provide, and protect the integrity of, required records and information.
e. Allow for compliance with policies, chosen standards, laws and regulations
3.8 EHS Audit Team
3.8.1 Team structure shall be linked with the location/facility to be audited.


3.8.2 Facility / Location specific Audit Team shall be nominated by concerned
Management in consultation with HSE Manager or equivalent.
3.8.3 In general audit shall comprise of members at least one each from HSE,
Operations, Maintenance, Engineering & Projects, Divisions/Departments in
Buildings, Contractors Representatives (for construction sites)
3.8.4 HSE representative shall be audit coordinator.
3.8.5 Team leader shall at least be Department Manger / Section Head nominated
on rotation basis. Team leader shall not be responsible for the area to be
audited
3.9 EHS Audit Reports: Report based upon the audit findings (checklist)
normally presented in a format indicating the salient observations, actions
required, responsibilities, recommendation and target dates.
3.10 EHS Inspections
3.10.1 EHS Inspections are the walk-through of the physical areas of the facility,
with the goal of identifying EHS hazards & concerns.
3.10.2 A scheduled, structured examination of a worksite with a specific focus on
physical conditions & working practices in addition to normal supervisory duties
3.10.3 The surveys shall be conducted on a regular frequency by the inspection
team including the representative from the area to be inspected.
3.10.4 Inspection team members are to note problem areas, write reports, present
the report to concerned, offer recommendations, set completion dates and
follow-up to ensure action has taken place.
3.10.5 Inspections should concentrate on working conditions, working practices,
housekeeping, process controls, hazard exposure, and other similar
concerns.
3.11 Emergency: A sudden and usually unforeseen event that requires immediate
action to minimize its consequence
3.12 Entity: Facilities within Industrial Sector including Industrial, Commercial,
Residential and Welfare
3.13 Hazard: Any substance, physical effect, or condition with potential to harm
people, property or the environment or affect on the company reputation
3.14 Incident: An uncontrolled / unplanned/undesired / uncontrolled event that
results in undesirable consequences to the personnel (injuries/illness) and / or
to the assets (damage/loss) or to the neighbouring community and/or to the
environment. The term Incident is synonymous with Accident wherever used
in ZonesCorp EHS Management Framework
3.15 Industrial Sector: Industrial Sector within Abu Dhabi Emirate includes but not
limited to Entities (Industrial Units etc.) in Industrial Cities developed by
ZonesCorp, Industrial Areas like Mussafah, Mafraq, etc. and Workers


Facilities (Labour Camps) for Industrial Sector
3.16 Non-Compliance: Failure to meet the EHS Management System
requirements. Non-compliance may be identified by monitoring activities,
adverse trends in performance indicators, non-completion of EHS plans,
failure to meet ZonesCorp/EAD requirements and expectations, meet targets,
incident investigations and audits.
3.17 Shall: Signifies mandatory requirements
3.18 Should: Signifies recommended/optional requirements
3.19 SOP: Safe Operating Procedure
3.20 Tenant: The Project Proponent/Lease Holder/Concession Agreement Holder/
Owner/Operator of an Entity within the Industrial Sector in Abu Dhabi Emirate


4. EXISTING APPLICABLE LAWS
All Tenants shall ensure that their operations comply with all relevant UAE
and Abu Dhabi Environmental, Health and Safety laws and regulations.
Environmental, Health and Safety regulations in the UAE are gradually being
implemented.
This Code of Practice has been developed to ensure compliance to or exceed
the requirements of all relevant legislative statutes and regulations,
specifically including but not limited to:
4.1 Federal EHS Laws and Codes including UAE Standards Industrial Safety &
Health Regulations (Emirates Authority for Standardization & Metrology)
4.2 Local Law No. ( ) of 2008 concerning Environment Health & Safety
Management System in Abu Dhabi Emirate
4.3 Local Law No. 16 of 2005; Article 14 Establishment or Individual is prohibited
to carry out any activity that could adversely affect the lives of human beings
and the safety of the environment before obtaining a license from the Agency.
4.4 Local Law No. 21 of 2005 on the Waste Management in Emirate of Abu Dhabi
4.5 Local Law No. 23 of 2005 and the Executive Regulations Regarding the
Health Insurance Scheme for the Emirate of Abu Dhabi
4.6 Federal Law No. 1 of 2002 Regarding Organisation & Monitoring the Use of
Radiation Resources and Protection
4.7 Federal Law No. 8 of 1980. The Labor Law (as amended 1986)
4.8 Federal Law No. 23 of 1999 Marine Bio-Resources in the UAE
4.9 Federal Law No. 24 of 1999 for the Protection & Development of the
Environment
4.10 Regulations / Executive Orders made under the Federal Environment Law
a. Federal Bylaw; Protection of Air from Pollution (Ministerial Order # 12 of
2006)
b. Federal Bylaw; System for Protected Area
Ministerial Decree No. 37 of 2001 concerning the approval of the Executive
Orders for Law No. 24. It includes the following Regulations:
a. Environmental Impact assessment of Projects 2001
b. Assessment of Environmental Effects of Installations 2001
c. Protection of the Marine Environment 2001
d. Handling Hazardous Materials, Hazardous Wastes & Medical Wastes 2001
e. Pesticides, Agricultural Additives and Fertilizers 2001


4.11 Ministerial Decrees & Decisions:
a. Decree No. 50/2003 Basic Regulating Rules for Ionizing Radiation
Protection
b. Decree No. 55/2004 Basic Regulations for Protection against Ionizing
Radiation.
c. Decree No. 56/2004 Basic Regulations for Safe Transport of Radioactive
Materials
d. Decree No. 57/2004 Basic Regulations for Radioactive Waste Management
e. Decree No. 214/2004 on Use of Sludge on Land
f. Ministerial Order No.32/1982 on the Determination of Preventative
Methods and Measures for the Protection of Labor from Risks at Work
4.12 Abu Dhabi Emirate Environment Protection Policies (EEPPs)
a. Part 1 Air Quality
b. Part 2 Water Quality
c. Part 3 Land Quality
d. Part 4 Noise
e. Part 5 Waste
f. Part 6 Hazardous Substances
g. Part 7 Occupational and Environmental Health & Safety
h. Part 8 Biodiversity and Conservation
4.13 Abu Dhabi Emirate Environment Protection Policies Standards
a. Part 1 Air Quality Standard
b. Part 2 Water Quality Standard
c. Part 3 Land Quality Standard
d. Part 4 Noise Quality Standard
4.14 Abu Dhabi Emirate EHS Management System Codes of Practices
a. Self Regulation
b. Roles & Responsibilities
c. Risk Management
d. Audits & Inspection
e. Emergency Management
f. Monitoring and Reporting
g. Management Reviews
4.15 EAD Regulations on Hazardous Material & Waste Permit
4.16 Industrial Safety and Health Regulations Occupational Health and
Environmental Control SSUAE No. 209 / 1995.


5. RESPONSIBILITIES
5.1 Competent Authority
The Competent Authority (EAD) in cooperation with the Regulatory Authority
(ZonesCorp) shall approve the types of entities (targeted entities) that should
develop & implement an EHSMS in accordance with the Abu Dhabi Emirate
EHS Law.
The Competent Authority (EAD) shall set mechanisms for:
Reviewing and approving EHSMS developed by Entities to ensure
compliance with the requirements of the EHSMS at Abu Dhabi Emirate
level.
Auditing the EHSMS implemented by different entities.
The Competent Authority (EAD) shall promote the importance of
implementing the EHSMS.
The Competent Authority (EAD) shall be responsible for reporting to the
Executive Council the performance of the EHSMS at Abu Dhabi Emirate level.
5.2 Regulatory Authority
The Regulatory Authority (ZonesCorp) in cooperation with the Competent
Authority (EAD) shall identify the types of entities that should develop &
implement an EHSMS in accordance with the Abu Dhabi Emirate EHS Law.
Authority (EAD) shall implement mechanisms for:
Reviewing and approving EHSMS developed by entities in compliance to
the requirements of the Abu Dhabi Emirate EHSMS.
Auditing the EHSMS implemented by different entities.
Receiving EHSMS Performance from Industrial Sector Entities
Compilation and reporting EHSMS Performance of Industrial Sector to the
Competent Authority (EAD)
Authority (EAD) shall promote the importance of implementing the EHSMS.
5.3 Entities
5.3.1 Entities shall provide and maintain a safe environment for workers, avoid any
risk to human health, avoid adverse impact to environment and prevent
environmental pollution.
5.3.2 Entities shall develop and implement an EHSMS within their areas of
jurisdiction to protect their employees, the community and the environment
from any adverse impacts arising from their activities.


5.3.3 Entities having an EHSMS are required to audit their System in order to
ensure conformance with ZonesCorp EHSMS Requirements.
5.3.4 Entities having established an EHSMS are required to demonstrate self
regulation
5.3.5 Entities having an EHSMS are required to submit an annual report to the
ZonesCorp / EAD on the performance of their System as per the mechanism
set by ZonesCorp.
5.4 Employers Duties
5.4.1 Employers have the ultimate responsibility to ensure the health and safety of
their employees.
5.4.2 Employers have a general Duty of Care to take all practicable steps to ensure
the safety of their employees while at work, visitors and contractors.
In particular, they are required to take all practicable steps to:
Provide and maintain a Safe Working Environment;
Provide and maintain facilities for the Safety and Health of employees at
work;
Ensure that machinery and equipment are safe;
Ensure that working arrangements are not hazardous to employees; and
Ensure a Safe System of Work comprising at least of Procedure, Training,
Communication & Supervision is in place
Ensure procedures are available to deal with emergencies that may arise
while employees are at work.


6. EHS AUDIT
6.1 The purpose of EHS Audit is to ensure compliance to EHS Management
System, Procedures and a safe and healthy workplace by striving to eliminate
unsafe practices and hazards that lead to injuries and accidents.
6.2 EHS Audits are report cards on the success of EHS programs. Like financial
audits, EHS audits are structured evaluations on performance & compliance.
6.3 EHS Audit is a structured, methodical assessment and evaluation of how
workplace activities affect safety, environment and health. It reveals how an
organization is doing in maintaining a safe and healthy environment. Its goal
is to ensure a safe and healthy workplace by striving to eliminate unsafe
practices and hazards that lead to injuries and accidents.
6.4 An audit consists of two parts: gathering data about a program and evaluating
the data. The audited program must comply with a variety of regulations and
guidelines: federal environmental, safety, and health regulations; local and
state requirements; and internal institutional performance requirements.
6.5 An audit should identify the strengths as well as the weaknesses of a
program. It should reveal to management and the employees where and how
they could and should make improvements.
6.6 On-site Audits require three main actions.
6.6.1 First, arrange interviews with facility personnel who have key roles in
developing or implementing safety management systems.
6.6.2 Next, review documentation that defines safety system records or verifies
completion of critical tasks. These tasks may include emergency
preparedness; hazard identification, control, and monitoring; and safety
education and training.
6.6.3 Last, conduct field assessment of the facility or equipment. Here, the
assessment might include verification of implementation of safety practices.
For example, are only certified welders performing hot work (welding)? Does
he have hot work permits?
6.7 Audit data, obtained by reviewing written records and procedures,
interviewing personnel, and personal observation, are collected from both an
administrative area and a management or operational area, which controls the
physical environment.
6.8 Audit of the administrative area includes a review of how well or how poorly
management has implemented the program. Audit of the operational areas,
whereby management controls the physical environment, includes assessing
the surroundings and external conditions that influence the daily operation of
the organization.


7 AUDIT CATEGORIES
7.1 Level 1 Audit: To be conducted at Corporate level (for the whole
organization) by Internal or External Auditors.
7.2 Level 2 Audit: To be conducted at Divisions Level within the Organization by
Internal Auditors.
7.3 Level 3 Audit: or Inspections. to assess at the Sections/Department level, the
physical conditions of the workplace and to physically verify that operations
are conducted in accordance with EHS Policy, Standards and Procedures.
Note 1: Depending upon the organizational structure and size the appropriate
category of audit (Level 2 or 3) should be selected.
Note 2: Where applicable Contractors Worksites shall be covered in all the
Audits
7.4 External Audits
7.4.1 External audits can be carried out for all audit levels. These audits shall be in
addition to Internal Audits
7.4.2 Entities shall ensure external audits being conducted by EAD/ZonesCorp
approved auditors on annual basis. The report shall be submitted to
ZonesCorp as a part of EHS Performance monitoring. Refer to ZonesCorp
Code of Practice on EHS Performance Monitoring & Reporting ZC-CoP-
EHS06
7.4.3 ZonesCorp shall conduct an audit of Entitys EHS Management System at
approximately three yearly intervals.
7.4.4 The ZonesCorp EHSMS audit aims to verify Entitys implementation of, and
compliance with the ZonesCorp EHS MS requirements and expectations.
7.4.5 Consultants, ISO 14001 certification bodies, etc., may also perform external
EHS audits.
7.4.6 External audits shall be tracked and followed up similarly to internal audits,
with same responsibilities.
7.5 Self Assessments
7.5.1 Entities shall perform an EHS MS self assessment on an annual basis or a
frequency set by the concerned Management. This shall be performed
according to the requirements as outlined in this document
7.5.2 Entitys Management shall co-ordinate and support the EHS MS self
assessment process in order to ensure objectivity and consistency of
approach.
7.5.3 The EHS MS self assessment may be submitted as part of the EHS
Performance Reporting.


8 EHS MANAGEMENT SYSTEM AUDITING
8.1 The EHSMS auditing, for the purposes of implementing the objectives,
principles and intent of the EHSMS Framework, should include (where
relevant), but not be limited to the following areas:
a. EHS Management Systems;
b. Discharges to air, water and land;
c. Management of water (wastewater, groundwater, drinking water);
d. Minimization and management of waste including resource recovery,
reuse and recycling;
e. Hazardous waste management and responding accordingly to
hazardous releases;
f. Managing hazardous substances such as asbestos, pesticides & oil
pollution;
g. Noise management;
h. Occupational and public health and safety (includes workers and
visitors, customers and neighbors) including personal protective
equipment and training and supervision;
i. Adequacy of monitoring and measurement practices (including
calibration);
j. Aboveground and underground storage tank management;
k. Risk assessment and management including hazard identification and
communication; and
l. Emergency management planning and response.
8.2 This document is however limited to the EHS Management System Audit, the
auditing requirements for other above listed items are addressed in the
relevant Code of Practices
8.3 EHS Management System Audits aims to verify compliance with EHS
Management Systems Elements and associated Expectations. Refer to
ZonesCorp Code of Practice on EHS Management System ZC-COP-EHS02
8.4 The EHS MS Audit program should be designed, developed and implemented
in accordance with, ZonesCorp EHS MS requirements and the applicable
international standards like ISO:


9 EHS AUDIT TEAM
9.1 EHS Audit team should comprise a lead auditor, an engineer (or equivalent)
familiar with the area/plant/equipment and/or process, and a person with
experience in the relevant field, e.g. EHS.
9.2 During operations, each Manager is responsible for controlling the regular
frequency of audits for its facility or area of management. Line Managers
must be satisfied that appropriate due diligence is being achieved.
9.3 EHS Audit Team shall be nominated by concerned Management in
consultation with HSE Manager or equivalent.
9.4 The recommended members of the team shall be as defined in section 3. In
general audit shall comprise of members at least one each from HSE,
Operations, Maintenance, Engineering & Projects, Divisions/Departments in
Buildings, Contractors Representatives (for construction sites).
9.5 EHS Audit Team leader shall at least be a Department Manager / Section
Head or equivalent nominated on rotation basis. Team leader shall not be
responsible for the area to be audited.
9.6 HSE representative shall be the EHS Audit coordinator and an essential
member of the audit team.
9.7 EHS Auditors must be suitably knowledgeable, experienced and qualified to
undertake EHS audits. Refer to the preceding sub-sections.
9.8 Audit Team Responsibilities
9.8.1 EHS Auditors, and their Audit Team, have a primary duty of care to the
Environment, Health and Safety and above all to the organization. They have
ethical as well as technical obligations in the fulfillment of their duties.
9.8.2 Ethically, EHS Auditors are obliged to:
a. Provide true and accurate information concerning their investigations;
b. Not issue inaccurate EHS audit reports, or conceal relevant information
from the concerned management, ZonesCorp, EAD etc.; and
c. Notify ZonesCorp / EAD of any imminent hazard to workers, the
community or the environment, or fraudulent activity, as soon as
practicably possible during the course of conducting the EHS audit
9.8.3 Technically, EHS Auditors are obliged to:
a. Refer to documents (CoP, Guidelines etc.) developed by the ZonesCorp,
EAD and updated international standards in the course of conducting the
audit;
b. Utilise best practice methods while conducting assessments;


c. Exercise due care, diligence, and professional judgement while conducting
their activities to a standard expected of a qualified environmental, health
and safety auditor;
d. Conduct audit only in areas within their competence; and
e. Ensure that EHS audit statements or reports are based on sound
observations and logical deductions and analysis.
9.9 Types of EHSMS Auditors
a. The following types of EHSMS auditors are required for the
implementation of the objectives, principles and intent of the EHSMS
Framework:
b. EHS Management System Auditors;
c. EHS Industrial Facilities Auditors;
d. EHS Contaminated Land Auditors;
e. EHS Hazardous Materials Auditors;
f. EHS Occupational Hygiene Auditors;
g. EHS Monitoring Measurement Auditors; and
h. EHS Air Quality Modelling Auditors;
9.10 Qualifications for EHSMS Auditing Personnel
a. Internal EHSMS auditors must be suitably knowledgeable, experienced
and qualified to undertake EHS audits.
b. External EHSMS auditors must be suitably knowledgeable, experienced
and qualified to undertake EHSMS audits.
c. The training undertaken by external EHSMS Auditors must be recognized
and sufficient to be certified to undertake EHSMS audits of management
systems in accordance with the standards prescribed in Section 13, or
recognized equivalent.
d. Only ISO certified auditors, or an equivalent recognized by the ZonesCorp
/ EAD, should conduct external EHSMS audits in accordance with this
policy.


10 KEY STEPS FOR AUDITING
10.1 The figure presented below contains guidelines on planning and conducting
audit activities as part of the audit program. The extent to which the provisions
of these guidelines are applicable depends on the scope and complexity of
the specific audit and the intended use of the audit conclusions.

Initiating the audit
1. Appointing the Audit Team Leader
2. Defining audit objective, scope, and
criteria
3. Determining the feasibility of the audit
4. Selecting the audit team
5. Establishing initial contact with the
auditee

Conducting document review
6. Reviewing relevant EHS Management
System documents including records
and determining their adequacy with
respect to audit criteria

Preparing for on-site audit activities
7. Preparing the audit plan
8. Assigning work to the audit team
9. Preparing work documents

Conducting on-site audit activities
10. Conducting opening meeting
11. Communication during the audit
12. Roles and responsibilities of guides and
observers
13. Collecting and verifying information
14. Generating audit findings
15. Preparing audit conclusions
16. Conducting closing meeting


11 SCOPE OF EHS AUDITING
11.1 The scope of EHS auditing, for the purposes of implementing the objectives,
principles and intent of the organizations EHS objectives, should include
(where relevant), but not be limited to the following areas:
a. EHS Management System including EHS Control Procedures
b. All existing written EHS programs
c. Compliance to Safe Work Procedures and Practices
11.2 Appendix 3 & 4 presents a set of basic requirements recommended for use
in EHS MS and EHS Audits and Self Assessments. This is based upon the
Eight Elements of ZonesCorp EHS MS and the associated expectations
11.3 In addition to the EHS Policy Statement and Commitment (Appendix 1), there
are EHS expectations that are contained within 8 Elements of ZonesCorp
EHS Management System (CoPEHS02). Together, these 8 Elements
provide a framework for managing EHS. List of existing Code of Practices
included in ZonesCorp EHS Management System is provided in Appendix 2
The 8 EHS Elements are listed below and EHSMS Audit should consider the
associated expectations. The Elements are:
a. Element 1 Leadership and Commitment
b. Element 2 Policy and Strategic Objectives
c. Element 3 Organization, Resources & Competency
d. Element 4 Risk Evaluation & Management
e. Element 5 Planning, Standards and Procedures
f. Element 6 Implementation and Performance Monitoring
g. Element 7 Compliance Assurance (Audits/Inspections)
h. Element 8 Management Review
In addition, the following environmental principles are to be upheld:
a. Full compliance with all EAD standards as a minimum
b. Full compliance to Abu Dhabi Emirate Environmental Protection
Policies (EEPPs) and Standards
c. Minimization of power requirements.
d. No unplanned venting of gases from process facilities.
e. Utilization of best available technology to minimize fugitive emissions.
f. No utilization of ozone depleting substances.
g. No discharge of off-spec water to land or sea.


h. No discharges of oil or chemicals to land or sea
i. Minimization of waste generation.
j. Optimization of facilities footprint to reduce environmental impacts.
k. Minimization of visible impacts, noise and odour
11.4 Areas of consideration shall at least include:
a. EHS MS Expectations
b. EHS Control Procedures
c. Engineering Controls
d. Administrative Controls (Procedure, Work Instructions etc.).
e. Personal Protective and Safety equipment.
f. Periodic Inspections Records and status of action items.
g. Employee Training Records and needs
h. Site Compliance Deficiencies.
i. Unsafe Conditions / Unsafe Acts
j. Spills / Leaks
k. Adequacy of monitoring & measurement practices (including calibration);
l. Managing hazardous substances such as asbestos, pesticides and oil
pollution;
11.5 Appendix 3 presents the EHS MS Audit Basic Requirements and Appendix
4 presents EHS Audit concerns
11.6 Environment maters like hazardous material & waste separation, storage &
handling, containment, placards, chemical inventory, emergency equipment
and procedures, sampling & monitoring needs etc.
11.7 All Operating Facilities, Buildings including Control Rooms, Offices,
Workshops, Warehouses, Construction Sites, etc. shall be audited as per
agreed frequency.
11.8 The buildings (etc.) may be grouped depending upon the area, size, usage
and/or location.
11.9 For Multi-storey Buildings, audit should be carried out floor wise and
concerned Managers (located on the floor to be audited) or equivalent shall
assign the representative to accompany the auditors.
11.10 For New/Expansion Projects / Construction Worksites: Project Owner in
consultation with Project Executing Division/Department and HSE Department
shall coordinate for the Audit as deemed necessary. Construction Contractor
shall be involved. Refer to ZonesCorp CoP on Construction H & S
Management Plan (CoPS01)


12 EHS AUDIT PLANNING
12.1 The personnel responsible for conducting EHS audits within the organization
should:
a. Establish the audit objectives, criteria, extent, and scope;
b. Define responsibilities of the audit team, allocating adequate resources,
and developing suitable procedures;
c. Implement the audit plan or program;
d. Maintain records to demonstrate implementation of the audit programme;
and
e. Monitor the implementation of the audit plan or program and review the
audit plan or program at various stages to determine whether the
objectives have been met and to identify areas requiring improvement, or
that can be improved.
12.2 To make the EHS audit an effective tool that produces reliable information for
an organization to improve on its environmental health and safety
performance, EHS auditors must uphold the following principles of auditing:
a. Ethical conduct
b. Fairness when presenting audit findings;
c. Exercising due care and professionalism when conducting the audit;
d. Freedom from bias and partiality; and
e. Utilising the logical, scientific, evidence-based approach for arriving at
reliable audit conclusions.


13 MANAGING THE AUDIT PROGRAM
13.1 The audit program should be designed, developed and implemented in
accordance with, but not limited to, the following series of standards:
a. ZonesCorp / Tenant(s) EHS MS Targets & Objectives
b. ISO 14000 series for Environmental Management Systems;
c. ISO 18000 series for Occupational Health & Safety Management
Systems;
d. OHSAS 18001 series for Occupational Health & Safety Assessment
Series;
e. ISO 19011 - Guidelines on quality and/or environmental management
systems auditing;
f. ISO 9000 series for Quality Management Systems (optional); and
g. Relevant standards for Risk Management Systems (optional).
13.2 Authority for conducting random or targeted EHS audits must be granted by
Entitys senior management.
13.3 An audit program may include one or more audits depending upon the size,
nature, and complexity of the organization to be audited.
13.4 An audit program also includes all activities necessary for planning and
organizing the type and number of audits and for supplying adequate
resources to conduct the program effectively and efficiently within the
specified timeframe.
13.5 In addition to their internal audit program, organizations should also arrange
external audits of their EHS MS. External audits may be useful in providing a
more independent assessment of performance and may employ expertise not
available in-house.
13.6 Figure 13.1 illustrates the process-flow for the management of an audit
program based on the plan-do-check-act methodology described in ISO
19011:2003 (Guidelines for Quality and/or Environmental Management
Systems auditing).
13.7 Appendix 3 presents a set of requirements recommended for use in EHS MS
Audits and Self Assessments. This is based upon the Eight Elements of
ZonesCorp EHS MS and the associated expectations


Figure 13.1: Process Flow for the Management of The Audit Program

Authority for the audit
program
Establishing the audit program
1. Objectives and extent
2. Responsibilities
3. Resources
4. Procedures
Implementing the audit program
1. Scheduling the audits
2. Evaluating auditors
3. Selecting audit teams
4. Directing audit activities
5. Maintaining records
Monitoring & reviewing the audit program
1. Monitoring and reviewing
2. Identifying needs for corrective
and preventive action
3. Identifying opportunities for
improvement

Improving the
audit program
Audit activities
Act
Plan
Do
Check


14 CONDUCTING THE AUDIT
14.1 EHS Management System Audits
14.1.1 EHS MS Internal Audit (Self Assessments)
EHSMS Internal Audits should be carried out by the Entitys EHS Audit Team
at least on annual basis or at the frequency approved by senior management
in consultation with facility HSE staff
14.1.2 EHS MS External Audit (3
rd
Party)
Entities shall get their EHS MS audited by external 3
rd
Party EHS Auditors
approved by ZonesCorp/EAD on at least annual basis.
The report of such Audits shall be submitted to ZonesCorp as a part of EHS
Performance. Refer to ZonesCorp Code of Practice on EHS Performance
Monitoring & Reporting (CoP-EHS06)
14.1.3 EHS MS External Audit (ZonesCorp)
ZonesCorp Audit Team as a normal course shall undertake an Independent
Audit of Entitys EHS Management System at least once in three years.
However ZonesCorp reserves the rights to increase the frequency as and
when required on a case to case basis.
14.1.4 Minimum requirements that need to be verified during the EHS MS Audit are
provided as guidelines in Appendix 3
14.1.5 EHSMS Internal & External Audit schedules indicating time, location, area,
suggested team leader etc. shall be prepared by Entities and communicated
to all concerned including ZonesCorp, Internal Audit Team Leaders and
Members etc.
14.1.6 ZonesCorp may like to nominate an observer during any of such Audits.
14.1.7 All EHSMS Audit Reports including Self Assessment and External shall be
submitted to ZonesCorp EHS.
14.2 EHS Audits (Safety Audits)
EHS Audits commonly known as Safety Audits should be carried out by
Entitys Internal EHS Audit Team at least on monthly basis or at the frequency
approved by Senior Management in consultation with facility HSE staff
Minimum requirements that need to be verified during the EHS Audits are
provided as guidelines in Appendix 4
14.2.1 Audit schedule for the year indicating time, area and suggested team leader
shall be prepared and communicated to Auditee(s) (Area/Facility Owners),
Audit Team Leaders, Members, etc.


14.2.2 If audit of a particular area is not possible due to unavoidable circumstances
like shut down, maintenance etc. then this shall be rescheduled by the team
leader in consultation with the Auditee.
14.2.3 EHS Audit checklist should be used by each member of the audit team during
the audit.
14.2.4 FM-ZCEHSCOP11-01 and FM-ZCEHSCOP11-02 presents the recommended
checklists for facilities and buildings respectively
14.2.5 ZonesCorp may ask Entities to submit or present the EHS Audit Reports
14.3 Audits Key Requirements
a. Auditee (Area / Facility Owner etc.) shall be informed about Audit
timings and Scope in advance by Audit coordinator (HSE
representative etc.) and shall be required to accompany the audit team.
b. Audit team should comply with the applicable personal protective
equipment requirement and operating facilities basic safety rules.
c. Auditee shall provide all the information / evidence as required during
the audit.
d. Auditee shall take notes during the audit for all concerns raised by the
audit team.
e. Previous audit reports shall be provided to the audit team and reviewed
by the audit team before the audit.
f. Audit team may take these reports along with them during the audit for
confirming the previous recommendation compliance etc.
g. Audit team members may carry out a joint audit of all fields within audit
scope or each / some members may assign to audit separate fields as
per requirement and decision prior to start the audit.
h. If audit team is performing audit on separate field bases then the
Auditee shall ensure all required arrangements like availability of
concern representative etc.
i. An important aspect of the EHS Audit is onsite conversation with the
employees.
j. The auditor shall talk with employees about EHS aspects, hazards,
practices, safety knowledge and any other concerns related to the job.
k. Auditors should also inquire about what actions the employee thinks
should be taken to safeguard the job.
l. A closeout meeting of Audit Team shall be held after conducting the
audit for discussing / consolidating the observations


15 EHS MANAGEMENT SYSTEM AUDIT COMPLIANCE SCORE
15.1 The table provided below is recommended for use in assigning the
Compliance Scores to each of the EHS Management System Elements and
Requirements
15.2 When reviewing the implementation extent for each of the requirement /
expectation, a score (as per Table below) should be given, which reflects the
stage of implementation.
15.3 While assigning the scores, auditors shall perform a careful review of audit
findings and implementation status in consultation with the Auditee(s):
15.4 There are 5 distinct levels:
Score Definition
0
There is no evidence that the Expectation is recognised to be an
EHS MS requirement.
There is no implementation action ongoing or planned.
1
The Expectation is recognised to be an EHS MS requirement but
is only partially being complied with and shows significant gaps
and weaknesses.
There is no adequate plan to implement this Expectation beyond
the current level of compliance.
2
The Expectation is already partially implemented and there is an
adequate plan in place to fully implement it.
Implementation progress is less than originally planned.
3
The Expectation is being implemented and there is an adequate
plan in place to fully implement it.
Implementation progress is in accordance with or better than the
plan.
4
The Expectation is currently fully met with negligible non-
compliance.
There are adequate systems in place to ensure continuous
compliance and improvement.
15.5 The Score should be assigned to each of the requirements agreed to be part
of the audit scope. This shall be reflected clearly in the Audit Report. .
15.6 To arrive at the appropriate Score, auditors should use the information
obtained from site visits, interviews and documentation reviews. Also,
information may be obtained from other Audit Team members as appropriate.


16 DOCUMENTING THE EHS MS AUDIT FINDINGS
16.1 The audit findings may be considered as Gap or Weakness in the
management system.
16.2 The documented audit findings must relate to the gaps/weaknesses which
have been identified for the EHS MS Expectations / Requirements.
16.3 Audit findings should provide the detail as required by the Auditee to arrive at
a rectification action plan.
16.4 Efforts should be made to ensure that the manner in which the Gaps are
reported is stand-alone i.e. the Auditee should be able to interpret the Gap
without having to relate to the body of the audit report, the audit checklists or
any other working papers.
16.5 No reference should be made to the way how the finding is to be corrected or
the time-frame in which this correction is to be implemented. Both of these
shall strictly Auditee responsibilities.
16.6 All audit Findings shall be risk classified in accordance with the definitions as
per Table 16.1 below, which has been derived from the Risk Potential Matrix
provided in Fig 16.1. For detail refer to ZonesCorp COP on Risk
Management CoP-EHS06
16.7 The margins between the risk areas in the matrix are relatively large and as
such should not cause substantive arguments regarding the extent of
probability or severity.
Table 16.1: Risk Weighting Factors for EHS MS Items
Risk Definition
E
Extreme
An item with an unacceptably high risk potential. It may expose
the Entity to intolerable losses to people, Assets, environment or
reputation.
The gaps or weaknesses must be brought to the attention of
management. Immediate action should be taken to rectify it, i.e.
reduce the risk to a tolerable and ALARP level.
H/M
High/Moderate
An item with a risk potential which falls in the highest part of the
ALARP risk management area.
The gaps or weaknesses, although not resulting in unacceptably
high risk levels, must be brought to the attention of management.
High priority action must be planned and documented to satisfy
ALARP risk management criteria.


Table 16.1: Risk Weighting Factors for EHS MS Items
M
Moderate
An item with a risk potential which falls in the lower part of the
ALARP risk management area.
The gap or weakness must be rectified as a medium priority as to
satisfy ALARP risk management criteria.
L
Low
An item with a low risk potential.
The gap or weakness is tolerable without further action.
Correction may improve process, system or organisation
effectiveness/efficiency.
FIG 16.1: RISK ASSESSMENT MATRIX (RAM)
Consequence
2

Probability
2

Insignificant
(1)
Minor
(2)
Moderate
(3)
Major
(4)
Catastrophic
(5)
Rare (1) 1 2 3 4 5
Possible (2) 2 4 6 8 10
Likely (3) 3 6 9 12 15
Often (4) 4 8 12 16 20
Frequent (5)
Almost Certain
5 10 15 20 25
15 25
Extreme
Risk
1

Activity or industry should not proceed in current
form
8 12 High Risk
Activity or industry should be modified to include
remedial planning and action and be subject to
detailed EHS Assessment
4 6
Moderate
Risk
Activity or industry can operate subject to
management and / or modification
1 3 Low Risk
No action required, unless escalation of risk is
possible

1: Risk is the multiple of Probability & Severity of Consequence
2: Probability: Refer to Table 8.1 above for getting definition of Probability of
Occurrence
3: Consequence: Refer to Table 8.3 for Potential EHS Impact & Potential Incident
Consequence Rating



17 .AUDIT REPORT
17.1 Audit results must be documented to identify existing deficiencies and
required corrective actions.
17.2 Before being closed out, corrective action requests should be followed up to
ensure that non-conformance has been corrected. Similarly, the quality
system should also be corrected, if necessary, to prevent recurrence.
17.3 Based upon the working documents, check lists, audit observations and
meetings discussion, an audit report shall be prepared by Audit Team and
approved by the Team Leader.
17.4 Audit findings shall be communicated to Auditees at the end of the audit in
the close out meeting
17.5 Audit report shall reflect the points of concern, action required for rectification,
recommendations, responsibility and the target date.
17.6 Audit team shall make efforts to record the actual facts during the audit and
the same may or may not be agreed by the Auditee(s); however the
observations and findings of the Audit Team can not be challenged.
17.7 EHS MS Audit Reports (Internal & External) Copies shall be forwarded to
ZonesCorp
17.8 One copy of the audit report should be forwarded to the Auditee.
17.9 Auditee(s) should follow up for rectification of audit observation and submit
status report to Team Leader / concerned Management.
17.10 Original report along with the checklist shall be maintained by designated
department like HSE for recordkeeping and follow up for recommendation.
17.11 HSE Manager or equivalent shall share the audit results with organization
senior management, if deemed necessary.
17.12 Quarterly report indicating the status of audit conducted, salient observations,
recommendations and the status of actions should be prepared and shared
with concerned management.
17.13 Audit Reports shall be kept for presentation to external auditors (ZonesCorp,
EAD, etc.) as and when required.



18 EHS INSPECTIONS
18.1 EHS inspections are a basic tool for establishing and maintaining safe
conditions and discovering unsafe practices in the workplace.
18.2 Systematic inspections are practical ways to identify and correct unsafe
equipment, conditions, processes, and work practices. If unsafe conditions
and practices are found to exist, prompt corrective actions are initiated. They
are an excellent way to prevent accidents from occurring and to safeguard
employees.
18.3 An additional benefit occurring from inspections is that they give employees
an opportunity to point out deficiencies in their area that may otherwise go
unnoticed and uncorrected.
18.4 EHS inspections are conducted primarily not to find out how many things are
wrong, but rather, to determine if things are satisfactory. Their secondary
purpose is to discover conditions that, when corrected, will bring the facility up
to accepted and approved standards and/or regulations. As a consequence,
the inspected facilities should become safer and more healthful places to
work.
18.5 First-line supervisors, individual employees, maintenance employees, as well
as inspection teams, all function as workplace inspectors. The first-line
supervisor is one of the most important inspectors in the entire organization.
He or she is more important to EHS than is the EHS inspection team.
18.6 The supervisor is the key person because he or she is in constant contact
with employees and is thoroughly familiar with all the safety risks that may
develop in the department.
18.7 Supervisors should be on the alert at all times to discover and correct unsafe
conditions and practices.
18.8 Employees, if they are on the alert, also can be of great value in preventing
accidents. Employees should be encouraged to inspect the workplace every
day and to report any hazardous conditions to their supervisor. Employees
who are safety conscious will look continuously for conditions that may cause
injury to themselves or others.
18.9 Maintenance employees, in particular, should be safety conscious. When
maintenance employees are working in various departments and observe
safety risks that should be corrected, they can avert hazards by reporting risks
to the supervisor of the department. Management should alert its employees
that maintenance people are a great help in locating and correcting hazardous
conditions.


19 EHS INSPECTIONS PROGRAM
19.1 EHS Inspections mainly differs from EHS Audits in areas like Scope,
Frequency, Team Structure, Depth or Detail however the sections outlined
under EHS Audit shall be considered for necessary guidance as applicable
to various activities of EHS Inspections,
Inspections refer to a physical walk-through of an area conducted by either
the internal team of an organisation or by an external agency to determine
compliance with regulations and/or industry policies. A simple checklist can be
used for the purpose. FM-ZCEHSCOP11-03 presents the recommended
format for EHS Inspections)
19.2 Organizations should establish, implement, and maintain documented
procedures for planning and conducting ongoing inspection, testing, and
monitoring related to EHS goals and targets set earlier. The frequency of such
inspection and testing should be appropriate to each item inspected, tested or
monitored.
19.3 In order for the EHS strategy to be effective, it is essential that inspections be
planned and systematic. This does not remove responsibility from
organizations to be vigilant in recognizing and correcting issues that they
believe may cause harm or damage.
19.4 At the completion of each inspection, any deficiencies identified must be
noted on a summary sheet for action.
19.5 The supervisor (or equivalent) should then be de-briefed on ways to address
the key issues identified, the personnel recommended to undertake specific
actions and those responsible for notifying the person(s) responsible for EHS.
Any issues that are identified as continuing must be reported to the area
manager and to the person(s) responsible for EHS.
19.6 It is the responsibility of each organization to develop, with their work teams,
the most efficient manner in which such inspections will be performed. The
minimum requirement is that a written procedure for inspections is developed.
19.7 Figure 19.1 illustrates the process flow for coordinating workplace safety
inspections schedules.
19.8 To have a program for EHS inspection for reviewing work practices /
workplace hazards throughout the organization and addressing the unsafe
condition/act through the reports which shall be monitored and tracked for
rectification.
19.9 The objective of Safety Inspection / Walk Thru is to maintain a Safe Working
Environment (by identifying, controlling & removing hazards) and ensuring the
implementation of Safe Work Practices.


Figure 19.1: Coordinating A Workplace Safety Inspection Schedule

Step 1: Develop register of activities occurring in the
organisations area of responsibility in consultation with the
EHS committee or Equivalent.
Step 2: Identify inspection, testing, and monitoring required
and frequency and competency by checking industry policies,
legislation, and standards.

Step 3: Appoint a staff member to assist in developing plans
and schedules of inspections, testing, and monitoring that
determine whether certificates of competency are needed.

Step 4: Coordinate the implementation of the inspection,
testing, and monitoring schedule and ensure results are
documented, reviewed, and acted upon and records are filed
in a systematic manner.


19.10 Entities shall perform Level 3 EHS inspections to supplement the formal EHS
audit process. There are two types of EHS inspection:
19.10.1 Supervisory Inspections
a. Supervisory inspections are an essential part of the routine supervisory
work scope. Gaps and issues detected during these inspections shall be
invariably rectified on-the-spot or within a short time frame. There is no
requirement to formally document supervisory inspection findings.
b. The responsibility for supervisory inspections shall be the Section Head
or equivalent. Supervisory inspections shall be conducted by First Line
Supervisors.
19.10.2 Management Inspections
a. Management inspections are an essential part of the management
process. The term management refers to Senior Managers and above.
b. Management inspections are a key component of the HSE assurance
process in which senior management physically verify that operations
are conducted in accordance with policy, standards and procedures.
c. The results of management inspections shall be formally documented
and effective follow-up shall be verified.
d. Management EHS inspections provide excellent opportunities to:
Convey management EHS commitment and leadership messages to
the workforce.
Physically verify the correctness of formal progress and achievement
reports.
Create awareness of general attitudes and concerns of the workforce.
e. Management inspections, if conducted properly, enhance EHS team
work, workforce culture and willingness to change and improve.
19.11 EHS INSPECTIONS SCHEDULE
Each Area (facility) owner in consultation with HSE Staff shall prepare Safety
Inspection Schedule for the whole year. This shall at least include scope,
proposed Dates, Time and Locations/Areas
19.12 CONDUCTING EHS INSPECTIONS:
a. EHS Inspections shall at least be carried out jointly by HSE, Area/Facility
Owner and Maintenance Representatives.
b. For Building Safety Inspection each Division/Department located at
respective floor shall nominate a representative for participating in
Inspections
c. Buildings Fire Wardens or equivalent shall also be the team members.


d. For Projects (New or Expansion)/ Construction Sites: Contractor
representatives shall be part of the facility inspection team. However the
contractors shall conduct independent inspections as well and maintain
record. This shall be in accordance to ZonesCorp Code of Practice on
EHS Management of Contractors ZC-CoP-EHS09
19.13 EHS INSPECTION REPORTS
19.13.1 EHS Inspection Report shall be filled-up by the appointed representative
indicating the inspection finding, action required and the responsible
department / section.
FM-ZCEHSCOP11-03 presents the recommended format for EHS
Inspections)
Area owner / Fire Wardens shall distribute the copies of the EHS Inspection
report to the responsible section / group for execution of marked actions.
A copy of each inspection report should be kept with HSE Department.
19.13.2 EHS Inspection Status Report
All the EHS inspection reports shall be consolidated in Monthly Safety
Inspection Report
The actions marked in corrective action column shall be tracked to ensure
that the recommendations are acted upon and accomplished.
The remarks column shall be filled with DONE, IN PROGRESS or any
applicable remarks - this column shall serve as the Action Taken status
indicator.
19.13.3 Monthly / Cumulative EHS Inspections Statistics Report
The Monthly / Cumulative Safety Inspections Statistics report shall be
prepared for sharing with Senior Management and keeping track of action
items.
This report shall reflect the no. of Inspections planned in the month, actual
no. of inspections that has been carried out, no. of recommendations made
and the status of recommendations (in progress or closed).
Both the monthly and year to date status of all these information shall be
presented in the report.
In each report the status of previous months In Progress Actions should be
updated.


20 REFERENCES
20.1 Abu Dhabi Emirates EHS Management System Manual
20.2 ZonesCorp Code of Practice on EHS Management System Framework
20.3 ZonesCorp Code of Practice on EHS Incident Reporting & Investigation
20.4 ZonesCorp Code of Practice on Operation Environment Management Plan
20.5 ZonesCorp Code of Practice on Pollution Prevention & Environmental
Compliance Assurance
20.6 ZonesCorp Code of Practice on EHS Compliance Enforcement
20.7 ZonesCorp Code of Practice on EHS Impact Assessment (EHSIA)
20.8 ZonesCorp Code of Practice on EHS Risk Management
20.9 ZonesCorp Code of Practice on Integrity Assurance & Management
20.10 ZonesCorp Code of Practice on EHS Management of Contractors
20.11 ZonesCorp Code of Practice on EHS Performance Monitoring & Reporting
20.12 ZonesCorp Code of Practice on Waste Management
20.13 ZonesCorp Code of Practice on Health Surveillance & Monitoring
20.14 ZonesCorp Code of Practice on Operation Health & Safety Management Plan



APPENDIX 1
EHS COMMITMENT & POLICY

Industrial Sector within Abu Dhabi Emirate shall:
1. Strive to protect the Environment and the Health and Safety (EHS) of
Employees, Contractors and the Community by sharing responsibility at
all levels within Industrial Sector in the Emirate of Abu Dhabi
2. Develop an Institutional Framework for effective enforcement of National
EHS Policies & Regulations across the Industrial Sector within Emirate of
Abu Dhabi
3. Ensure that the Health, Diversity and Productivity of the Environment is
maintained or enhanced for the benefit of future generations in order to
achieve sustainable development.
4. Achieve sustainable development by promoting the concept of Cleaner
Production, Energy Conservation and Industrial Ecology.
5. Integrate EHS Risk Assessment & Management in Planning,
Development & Operation of all Projects
6. Integrate Economic, Social, Environmental, Health and Safety
considerations including conservation of Biological Diversity and
Ecological Integrity into decisions making process for Industrial
Development
7. Ensure responsible care and management of Environment Health and
Safety concerns including the ultimate disposal of any Wastes throughout
the life cycle of the Project.
8. Ensure that the cost of abatement of Pollution and Health Risk is borne
by the Polluter and Risk Generator.
9. Ensure commitment of reducing EHS Liabilities and Improving Efficiency
or Resource use.
10. Promote awareness across Industrial Sector within Abu Dhabi Emirate
about their responsibility in protecting the Environment and the Health
and Safety of the Community.
11. Ensure an effective Emergency Response Preparedness for the Industrial
Sector is in place and maintained at all times.
ZonesCorp and Industrial Sector Entities shall implement this Policy through a
documented Environment, Health and Safety Management System (EHSMS)
and conduct periodic audits for compliance assurance.


APPENDIX - 2
ABU DHABI EMIRATE INDUSTRIAL SECTOR EHS REGULATORY FRAMEWORK
This appendix presents a partial list of EHS Regulatory Framework Codes of
Practice and Guidelines for Industrial Sector within Abu Dhabi Emirate. The list will
continue to be subject to considerable change during the next few years, to match
the requirements of Industrial Sector
Sr.
No.
Code of Practice & Guidelines Document No.
Environment Health & Safety (EHS)
1 EHS Management System (EHSMS) Framework CoP-EHS01
2 EHS Management System CoP-EHS02
3 EHS Risk Management CoP-EHS03
4 EHS Impact Assessment (EHSIA) CoP-EHS04
5 EHS Accident/Incident Reporting & Investigation CoP-EHS05
6 EHS Performance Monitoring & Reporting CoP-EHS06
7 EHS Management of Industries CoP-EHS07
8 EHS Management of Workers Residential Cities CoP-EHS08
9 EHS Management of Projects CoP-EHS09
10 Integrity Assurance & Management CoP-EHS10
11 EHS Audits & Inspections CoP-EHS11
12 EHS Compliances Assurance & Enforcement CoP-EHS12
13 EHS Training & Awareness CoP-EHS13
Environment
1 Construction Environment Management Plan (CEMP) CoP-E01
2 Operations Environment Management Plan (OEMP) CoP-E02
3 Waste Management Plan CoP-E03
4 Pollution Prevention & Environmental Compliance Assurance CoP-E04
Health
1 Occupational Health Surveillance and Monitoring CoP-H01
2 Occupational Health Welfare Management CoP-H02
3 Food Safety Management CoP-H03


Sr.
No.
Code of Practice & Guidelines Document No.
Safety
1 Construction Health & Safety Management Plan (CHSMP) CoP-S01
2 Operation Health & Safety Management Plan (OHSMP) CoP-S02
3 Transport Management Plan (TMP) CoP-S03
4 Contractors Safety Requirements CoP-S04
Fire & Emergency
1 Fire Risk Management (FRM) CoP-FE01
2 Fire Protection System Design Criteria CoP-FE02
3 Emergency Response Plan (ERP) CoP-FE03
4 Emergency Communication CoP-FE04
5 Crisis Management Plan (CMP) CoP-FE05
6 Incident Command System (ICS) CoP-FE06
Code of Practices Guidelines
1 EHS Manual for Workers Residential Cities CoP-GL05



APPENDIX 3
EHS MANAGEMENT SYSTEM AUDIT BASIC REQUIREMENTS
Section 1: Leadership and Commitment

ESSENTIAL ITEMS TO BE CHECKED
Leadership and Commitment
Commitment to
EHS aspects
through
leadership
Senior management should engender commitment to EHS issues at
all levels through their personal style of leadership and management.
Key elements include:
Visible expressions of commitment by senior people
EHS matters should be placed high on personal and collective
agenda
All senior managers should set a personal example to others.
They should be, and seen to be actively involved in EHS matters,
e.g. attendance at EHS meetings, personal instigation of EHS
audits and reviews, etc.
A feedback system should be established to encourage and
facilitate employee feedback on EHS matters
A positive culture should be promoted at all levels
Section 2: Policy and Strategic Objectives
EHS Policy Statement
General Written EHS policy
Dated and signed by Chief Executive
Policy statements:
specific to individual parts of the contract (e.g.
locations/sites/plants)
cover specialised aspects (e.g. alcohol and drugs)
consistent with Tenants standards and guidelines
clear, concise and motivating
Content Importance of EHS as a contract objective
Incidents and injuries are unacceptable
EHS established as a line management responsibility
Everyone is responsible for their own and their colleagues' EHS at
work


Distribution/
availability
EHS policy distributed to all concerned, i.e.
handed to each employee by their line manager when issued
All new employees handed a copy by their line manager
displayed on notice boards at each work location(worksites and
offices)
copies provided for each entity on the contract(including
subcontractors, suppliers and agents)
available to Tenant and contractor employees in their working
language(s)
Discussion Policy and its implementation when issued discussed by line
managers with each employee
Section 3: Organization, Resources and Competence
EHS Organization
Key personnel Personnel responsible for the implementation of EHS objectives
clearly identified in an organisation chart
Responsibility adequately covered during all phases of contract
Job descriptions in place showing each team member's EHS
competencies, responsibilities and function
Organisation clearly shows position of EHS professionals
EHS objectives/
accountability
Defined to meet health, safety and environmental objectives as well
as those of time, cost and quality
Accountability for EHS success and equally of any failure clearly
stated
Focal point within the team structure ensuring that all EHS matters
have been identified
Designated team leader to produce EHS objectives, tasks and targets
for the organization
Targets, etc to be realistic and consistent EHS issues
Manning/
Communication
Manpower philosophy
Manpower level to be defined correctly so as not to compromise EHS
Effective means to communicate EHS issues between the Tenant,
contractor and subcontractors
Organisation staffed by competent personnel with sufficient
appreciation of EHS where necessary with specific training in the
issues involved


Corporate
Structure/
Responsibility
Entity's expectations on EHS Management shall be communicated in
depth within the organization
Access of line management to their corporate management structure
on EHS issues to be defined
Level of handling EHS issues by the Entity corporate structure (middle
or senior management or board level)
In the Tenants corporate organisation, individuals charged with
responsibility for EHS at middle senior manager or board member
level
Access to specialist EHS advice for line management, e.g.
Provision of EHS documentation
Employment of EHS specialist
EHS Professionals
Job definition Role of the EHS advisers / specialists well defined
Job description drafted
Reporting/
follow-up
Reporting relationship with line management
Direct access to the Chief Executive
Does line management follow advice offered
EHS Communication within organization


EHS
Department or
Equivalent
Entity's EHS department involved in:
Preparing and monitoring departmental action plans
Formulation and suitability of EHS rules
Planned inspections and audits together with line management
Promotional material
EHS training
Subcontractor assessment
Training and auditing
Health risk assessment, health performance monitoring and health
surveillance
Environmental monitoring
Supporting incident investigation by line management
Guidance given by the EHS Professional in preparing and
implementing:
Operating and emergency manuals
Emergency plans
Training for fire fighting teams, first-aiders, etc
Emergency drills and exercises
Protective equipment and rescue
Contact and liaison with relevant Government departments
maintained
Contractors Control
Management Verify availability and compliance to ZonesCorp EHS Code of
Practice on
EHS Management of Projects CoP-EHS09
Contractor Safety Requirements CoP-S04
Construction Health & safety Management Plan CoP-S01
To be well integrated and identified in Contract EHS Plans
Contractor(s) EHS Plans to be vetted for suitability by concerned
Management
Vetting of past contractors / subcontractor records
Maintenance of approved contractors lists where EHS has been
considered


Coverage/
Awareness
Set up appropriate lines of communication to handle EHS issues, e.g.
such items as:
Direct access to emergency services
Nearest hospital
Ambulance Services
First Aid Facilities, etc
Emergency Services: those organisations that would be expected to
provide support in a major incident aware of requirements Briefed as
to their likely role
Construction
Projects
Verify availability and compliance to
Construction EHS Management Plan
Construction Environment Permit
Construction EHS Manual
Refer to ZonesCorp Code of Practice on Construction Environment
Management Plan (CoP-E01) and Construction Health & Safety
Management Plan (CoP-S01)
EHS Communications
Coverage/
Awareness
Set up appropriate lines of communication to handle EHS issues, e.g.
such items as:
Direct access to emergency services
Nearest hospital
Ambulance
First aid Centre, etc
Authorisation and implementation procedures fully understood
Emergency services: those organisations that would be expected to
provide support in a major incident aware of requirements
Briefed as to their likely role
External links Lines established to communicate externally incidents that may
endanger those on a site
Government agency reporting procedures and the associated
responsibilities of Employees & Contractors
Ability of base to mobilise in an emergency, e.g. doctors, hospital
facilities
Emergency
communication
Appropriate for incidents envisaged
Strengthened, duplicated or backed up by other means
Able to communicate with all the workforce in an emergency
Communications take into account the diversity of languages amongst
the workforce


EHS Meeting Programme
Scheduling Entity(s) to establish a regular schedule for EHS meetings
Procedure to maintain records of personnel attendance
Management
participation
Managers / Supervisors seen to be involved by employees in:
EHS activities, objective setting and monitoring
Taking action and providing resources to support their stated
policies and objectives
Meeting
structure
EHS meeting structure
Effective to manage and communicate on EHS
Allow employees full involvement and their own ideas to be heard
Typical agenda and meeting formats
Follow-up
actions
Meeting actions
Where action is agreed, is it seen to be carried out?
Where action is not agreed, is it explained why?
Communication Results of EHS activities, both successful and less successful, openly
communicated to all employees
Meeting programme consistent with the rest of the management
structure to communicate effectively EHS issues
Meetings recorded clearly and consistently
Structured to differentiate between health, safety and environment
EHS Promotion and Awareness
Techniques Appropriate communications techniques used to make the personnel
aware of EHS issues
How this is to be implemented, e.g.
Personal contact
Interactive video
Notice-boards
Newsletters (suitable for large sites)
Bulletins
Posters
Performance
EHS Performance Boards at designated locations
EHS Performance Recordkeeping
Performance
Improvement
Possibilities include:
Small 'give-aways' with the EHS message
Competitions


Suggestion schemes
Part of business EHS activities seen as an integral part of running an efficient business
rather than a costly and time-consuming 'extra'
EHS Competence Requirements
Fitness of
personnel
Confirmation of medical fitness from recognised / approved medical
facility of all employees proposed for contract
Employee Orientation Programme
Approach Provision of a comprehensive EHS handbook for all new employees
On-the-job orientation for supervisory staff
Established procedure in relation to follow-up of all new employees at
the worksite
New employees Adequately trained and confident of their own abilities
Coached to improve their work practices rather than blamed for
mistakes
Accountability Employees know they are accountable for EHS performance
Aware that their EHS performance is part of the organization's
appraisal and reward system
Know that flagrant or frequent breaks of published EHS rules will
result in disciplinary action
Procedures Required for new employee orientation consistent with Tenants
existing standards and guidelines
Reappraisal Programme subject to appraisal and review
EHS Training (General)
Entity Standards Statement on the current standard of workforce and training
requirements to meet Entitys standard
Established
Training Program
Including:
EHS management
Work (Job) related procedures
Road safety
Health (first-aid, health hazards, medical services, alcohol and
drugs, health promotion, use of PPE)
Auditing
Incident investigation and reporting
EHS adviser skills
Supervisory development


Environmental protection
Supervisory
Training
Supervisory development training promotes man-management skills
and communication skills
Formalised
programme
Formal EHS orientation programme for employees working on- site
Records kept of employees who have been through the programme
Employees trained before starting work
Training covers those joining as a contract is being implemented
Coverage EHS training of employees coverage (including):
Safety
Fire and explosion
Road transport/driving
First-aid
Work Procedures
EHS Procedures including / Permit to Work
Hazard awareness and reporting
Occupational health
Security
Basic EHS Rules
Legislative requirements
Environmental Protection
Supervisors'
participation
Supervisors required to brief and debrief staff before and after training
courses
Course content Effective system for establishing the need for and the content of
training courses
Determining course effectiveness and relevance of training assessed
Specialised
training
Relevant training given to personnel prior to the execution of
hazardous operations
Training gained through course attendance supplemented by on- the-
job training as necessary
Records kept of attendees of the training courses and qualifications
gained by employees
Emergency
Training
Training covers the actions to be implemented and the employees'
responsibilities in an emergency
EHS content in
other courses
EHS included in:
Induction courses
Craft training


Supervisory training
Line management training
Auditing techniques
EHS Training (Professionals)
Selection Procedure in place for introducing competent EHS personnel on to
the organization
Criteria set to select the EHS & Other supervisory staff(e.g. career
development, professional status)
Training Verify availability and compliance to
ZonesCorp CoP on EHS Training & Awareness CoP-EHS13
Training is received by EHS professional
Required specialisation (e.g. drilling, radiation, chemicals)
Appropriate levels of:
Institute training
EHS Management
Qualifications Knowledge and experience of the EHS professional:
Suits to competence for the job being carried out
Suits to the advice required
Section 4: Risk Evaluation and Management
Methods and Procedures for Hazards and Effects Management
Coverage Verify availability and compliance to
ZonesCorp CoP on EHS Risk Management CoP-EHS03
ZonesCorp CoP on EHS Impact Assessment CoP-EHS04
Risk assessment carried out in accordance with the formal methods
and procedures as set in EHS MS
Analysis techniques used in preliminary form where appropriate
Assessment covers all parts of the operation / activities with
assessments for the specific scope and locations of the business.
Experience and
Awareness
Workforce able to use material from previous similar assignments and
demonstrate awareness from past experience



Assessment of Exposure of Workforce to Hazards and Effects
Coverage To develop assessment of the scope and degree of exposure of
workforce to hazards from the hazards and effects management
process
Hazard & Effect Register shall be developed & maintained
Refer to ZonesCorp CoP on EHS Risk Management CoP-EHS03
Handling of Chemicals
Coverage Demonstrate availability and distribution of guidance/information
(MSDS) on the safe handling of chemicals, likely to be encountered in
operation, and proposals for confirming adherence to guidance
Material Safety Data Sheets MSDS to be provided for all hazardous
chemicals
Hazards and Effects Management and the Assessment of PPE Requirements
Hazard
assessment/
PPE
requirements
Hazard & Effect Management Plan shall be developed & maintained
All processes identified that require use of PPE
Statutory requirements similarly identified
Procedure in place for recording issue to personnel together with
follow-up inspection and replacement/re-certification
Storage of PPE adequate and secure with procedure for ensuring
adequacy of stock
PPE instruction/
training
Requirements identified for all personnel
Instruction and training in its use provided where needed
Procedure for checking its use been specified
Renewal/
replacement
Schedule and criteria for renewing PPE
Schedule for re-certification
Responsibility for payment
Section 5 Planning, Standards and Procedures
Process Safety
Availability/
Control
Verify availability and compliance to
Operation Environment Permit
Operation EHS Management Plan
Operation & Maintenance Manual
Refer to ZonesCorp CoP on Operation Environment Management
Plan (CoP-E02) and Operation Health & Safety Management Plan
(CoP-S02)


EHS Standards
Availability Employee in possession of EHS Manual / set of standards
Available in writing to all users in consistent, concise and clear form
Users involved in the development
Standards in line with Tenant(s) requirements
Refer to Operation Health & Safety Management Plan (CoP-S02)
Control/
Authorisation
Controlled documents
Updated regularly
Approval level indicated
Procedure for obtaining deviations from standards
Responsibility for authorisation
Mechanism for recording approved deviations
Coverage Clear reference to national and international standards
Setting minimum requirements on EHS issues
EHS Procedures
Availability/
Control
Operation EHS Manual comprising of Written procedures available to
cover hazardous operations on EHS (Refer to ZonesCorp CoP on
Operation Health & Safety Management Plan (CoP-S02))
Include EHS precautions to be taken
Consistent with Entity EHS MS standards and guidelines
Controlled documents
Appropriate level
Coverage: include health safety and environment
Written procedures:
Familiar to all employees including contractors
Available in their working language
Contents related to individual job descriptions
Deviations Procedure for obtaining
Responsibility and level
Recording of authorised deviations
Omissions Identify whether there are any areas where procedures for hazardous
operations are not drafted
Commitment to prepare
Permit to Work
(PTW)
System in place together with full set of applicable EHS procedures
If the contractor's system is utilised, it shall be consistent with industry


norms and in line with Tenants standards and guidelines?
Training/
Qualification
Training standards and qualifications set for personnel allowed to
implement procedures
Basic EHS Rules
Availability Set of rules available and distributed to all employees
Users acknowledge receipt
New employees given a copy before starting work
Method of discussion and verifying understanding
Coverage Covers health and environment as well as safety
Set of rules provided tailored to specific contracts
Identify hazards likely to be encountered
Address basic housekeeping and hygiene
Cover signals that will be encountered on site
Production/
updating
Structure for producing updating & disseminating rules
Frequency
Personnel participation
Involvement of users
Coverage Identification of potential major emergency scenarios, and procedures
to use in such scenarios, e.g.
Fire and explosions
Evacuation and abandon location(s)
Storm / Natural Disaster
Oil / chemical spill
Vehicles incident
Emergency communications
Medical Emergencies & Rescue
Confined Space Activities & Rescue
Loan workers and search and rescue (SAR)
Toxic Gases
Security breaches
Emergency Preparedness and Response
Awareness System shall ensure for the concerned workforce
Orientation Program
Schedule of drills and testing


Medical contingency plan included
Review frequency
Employees responsibility for own & colleagues' EHS
Monitoring mechanism
Drills to be carried out without warning
Plans Verify availability and compliance to
Fire Risk Management Plan (ZC-CoP-FE01)
Fire Protection Facilities (ZC-CoP-FE02)
Emergency Response Plans (ZC-CoP-FE03)
Emergency Communication (ZC-CoP-FE04)
Contingency plans allowed for in emergency situations
Recovery procedures in place to be activated in event of emergency
scenarios
Drills to be held to demonstrate preparedness for response
Communication Procedure
EHS Equipment and Equipment EHS inspection
Integrity
Assurance
Verify availability and compliance to Entitys Integrity Assurance and
Management Program (ZC-COP-EHS11)
EHS equipment List drawn up of all EHS equipment to be used in the facility
Identified by type, capacity and reference to standards
Integrity Assurance & Management Program Established
Requirements identified for each item of EHS equipment, including:
Registry
Classification
Licensing
Survey
Test certification
Schedule EHS equipment regular inspection schedule established
Inspection frequency clearly identified for critical items of plant
Occupational Health & Welfare
Health &
Welfare
Management
Verify availability and compliance to:
Occupational Health Surveillance & Monitoring (CoP-H01)
Occupational Health Welfare Management (CoP-H02)
Food Safety Standards (CoP-H03)


Facilities
available
Facilities defined as required by Workplace Hazards
Occupational health programme established to:
Identify hazards
Assess hazards
Control hazards, e.g. engineering controls, procedural controls,
vaccinations, etc
Maintain emergency procedures
Appropriate for the site conditions
Welfare programme meets the needs of workplace
Local medical facilities evaluated in detail to assess:
Range and quality of equipment and supplies
Hygiene standards
Administration procedures and standards
Transportation and communication
Sufficient for day-to-day needs and consistent with relevant health
programmes
Adequate provision for supply of drugs, antidotes, etc
Staffing Availability of adequately trained, experienced staff
Access to medical treatment facilities (if external)
Contingency
Plans
Defined for possible incidents beyond capability of site facilities
Accommodation
& Catering
Facilities
Where provided, facilities to meet normally accepted standards of
hygiene at site location
Facilities to be operated in line with government hygiene Regulations
and to meet Tenants standards and guidelines
Rules in force to maintain cleanliness of site and other facilities
Promotion Promotional material available to assist in maintaining standards
Appropriate for the contractor's workforce in terms of:
language
clarity, etc
Hygiene and
housekeeping
Procedure on on-site cleanliness and maintenance
Environmental
Environment
Management
Verify availability and compliance to:
EHS Impact Assessment (CoP-EHS04)


Operation Environment Management Plan (OEMP) (CoP-S02)
Construction Environment Permit (where applicable) (CoP-E01)
Waste Management Plan (CoP-E03)
Pollution Prevention & Control and Environment Compliance
Assurance (CoP-E04)
Awareness Of the workforce to protect the environment whilst executing contract
Control Operation Environment Permit
Identify potential environmental hazards
Develop procedures for handling materials and performing operations
that may damage the environment
Contingency plans
Aims Focus for the environmental protection team
At what level
Line management responsibility for environmental protection been
defined as well as other job objectives
Development and enhancement of environmental impact statements
for the contract
Monitoring/
restoration
Environmental monitoring to gauge the impact of operations
Plans appropriate and sufficiently detailed
Recovery and restoration of site after contract completion
Audits To be set as committed in EHS Management Plans
Regular Environmental audits of Operations / Activities
Carried out by experienced individuals or companies
Road Transport
Coverage Verify availability and compliance to
ZonesCorp CoP on Transport Management Plan CoP-S03
Drivers :
competence
and selection
Assess physical, mental and psychological capability
Character and background
Qualities and experience, medical examination, document checks,
driving tests
Special skills such as terrain and climatic experience and first- aid
knowledge
Driving Permits Should record personal and employment details, types of vehicle
licensed to drive and types of cargo licensed to carry
Driver induction Local area characteristics and regulations


Driver training This should test vehicle operation and use, operating
conditions(terrain, climate), off-loading and positioning, emergency
situations, and vehicle inspection
Driver
improvement
Techniques should identify deficiencies, analyse causes and select
appropriate retraining
Vehicle
selection
Ensure correct type, capacity and size for facilities
Good manoeuvrability and serviceability
Vehicle
specification
The job description should be clearly defined before the vehicle is
chosen, to ensure work operations do not exceed the manufacturer's
specifications
Safety equipment and communications on board the vehicle need to
be checked
Passengers Is the vehicle designed to carry passengers?
Freight Design of vehicle and load limits
Segregation, positioning and securing of freight
Vehicle
maintenance
Conducted on a regular basis
Operations
management -
need and
approval
Define the journey and justify the need
Awareness of hazards involved
Allocation of vehicles, written authorisation, verification of employees'
driving standards
Operations
management -
journey routing
and scheduling
Full awareness of route (hazards, conditions)
Realistic schedules
Journey
management
Logging of actions
Roles and
responsibilities
Roles and responsibilities defined for management, supervisors,
drivers, passengers
Contracting Prequalification of contractors and contractor EHS management
treating road transport with equal importance to main activity
Standards for scope of operations included in tender operation
Control and review mechanisms included in contracts
Policy of no subcontracting without written authority
Procedures Ensure procedures are in place for all transport operations
Monitor and review mechanisms in place


Emergency
Services
In place and tested
Section 6 Implementation and Monitoring
EHS Performance General
Monitoring &
Reporting
Verify availability and compliance to ZonesCorp EHS Code of
Practice on EHS Performance Monitoring & Reporting CoP-EHS06
Measurement Proposed plan to measure performance, i.e.
Performance indicators
Progress against targets
EHS initiatives/incentive schemes
Achievement of milestones
Numbers and types of training courses
Numbers and status of audits action items
Status / Closure of action items
Use will be made of reactive statistical indicators, e.g.
Lost Time Injury (LTI) Frequency / Severity Rate
Numbers of first-aid and minor injuries
Property Damage / Material Loss
Vehicle incidents
Spillages
Occupational illnesses
Sickness absenteeism
Feedback/
analysis
Performance Improvement Plan
Availability and use of performance records
Feedback/review/discussion at EHS meetings
Presentation and distribution to employees
Comparison of
performance
Comparison of performance
With other similar contract work
Frequency
Involvement of Tenant personnel
Incident Reporting & Investigation
Coverage Verify availability and compliance to ZonesCorp CoP on EHS
Accident/Incident Reporting and CoP-EHS03
Reporting procedure covering not only injuries to and time lost by
personnel but also:


Health incidents (diseases, exposures to hazardous substances,
near misses, etc)
Environmental incidents (spillages, releases, contamination, etc)
Other safety incidents (safety equipment failures, loss of capital
equipment)
Property Damage / Material Loss
Methods Incident investigation method established to determine and correct
causes
Incidents first reported to the direct supervisor
Incident investigation teams led by the relevant managers
Differentiation made between numbers of first-aid treatments and
other minor injuries
Procedure in place on vehicle incidents
Methods to be used for collecting incident statistics
Availability Established EHS procedure outlining responsibilities, frequency,
methods and follow-up
Section 7 Audit and Review
EHS Auditing
Verify availability and compliance to ZonesCorp CoP on EHS Audits
& Inspections CoP-EHS11
Scope Compliance with the EHS Plan including:
EHS Management System
Workers / Staff EHS
Technical Personnel EHS
Contractor
Occupational Health
Unsafe acts / Conditions
Audit Training
Environmental
Emergency Response


Coverage Consistent with Tenant standards and guidelines
Construction EHS Management Plans Scope & Requirements
Operation EHS Management Plans Scope & Requirements
Waste Management Plan
Pollution Prevention & Control Plan
Inspections and Audits
Involvement of personnel in audit teams from outside the location
Carried out by a wide cross-section of the workforce including
Tenant and subcontractor personnel
Effectiveness How verified
Involvement of the contractor's corporate management in review of
findings
Intention to publish findings
Discussion with personnel on contract and at EHS meetings
Lessons used to improve operations across the contract
Follow-up Any numerical treatment made of findings
Frequency of review of implementation progress
Rejections of audit findings properly authorised and documented


Annexure 4
EHS AUDIT CONCERN

EHS audit concern can be divided into two main categories:
1. Administrative Controls

Like assignment of responsibilities, emergency preparedness, employee
awareness, acceptance of responsibility and participation, identification,
control and monitoring of potential hazards, management leader ship, Safety
& Environment rules, regulation and procedure, Safety training, Record
keeping etc.

Following list is intended only as a guide in reviewing administrative control
items.
1.1 Safe Operating Procedure (SOP) / Regulations Safe Operating
Procedure (SOP) / Regulations

HSE Procedures Awareness
Incident Reporting
Safety Talk Procedure Implementation
Work Permit Procedure Awareness
Lockout /Tag out
Safety Inspection Reports / Follow-up
Material Safety Data Sheets available / accessible
1.2 Training

Safety and Environment Training
Emergency Response Awareness
First Aid Training / Awareness
Other:
1.3 Records

Incidents
Safety Equipment Services / Inspection Logs
Training
Other:

1.4 Other:

HSE Posters
Emergency phone listings


2. Physical Controls
To provide a safe workplace requires control of the physical environment
the surrounding and external conditions that influence the daily operation of
the establishment, including the possibility of injury to employees. Physical
concepts may include compliance to regulations and laws, identification of
exposures, safeguarding exposures, hazard protection & guarding,
environment control etc.
2.1 Machinery and Equipment

Equipment in good condition
Equipment is clean and labelled
General safeguarding provided and in place
Operators properly attired (no loose clothing,)
No unnecessary leakage
Regularly inspected
Others
2.2 Materials Handling and Storage

Manual materials handling equipment in good condition
Powered material handling equipment in good condition
Hazardous Materials handled, stored and transported in
accordance to HSE procedures and regulatory requirements
Housekeeping good
Storage areas properly illuminated & ventilated
Cylinders transported, stored in upright position AND properly
secured
Shipping/receiving areas in good condition
Racking and other storage procedures followed
Wheel chocks and restraint devices available / functioning
properly
Others:
2.3 Hand and Portable Power Tools

Correct tools provided
Hand tools and power equipment in good condition
Guards are in place, adjusted properly
Grinding wheel tools in good condition
Regular inspection of tools conducted
Stored tools are locked and /or secured
Other:


2.4 Fire Protection

Portable fire extinguishers / Fire Monitors / Fire Water Hoses:
Provided as required
Inspected as marked
Labelled properly
Location identified
Locations are readily accessible
Fixed Fire System In good condition & inspected/tested regularly
Fire Alarm System Tested (as required)
Emergency exit doors in good operating condition
Exits marked and accessible
Fire detectors working
Other:
2.5 Electrical

Outlet boxes covered and intact
Electric cords properly routed
Office electrical equipment in good condition & right connected
No connection / circuit overloaded
Outlet circuit properly grounded
Portable electric tools:
Good condition
Protected against shock
Grounded as required
Electric tools and receptacles grounded
Switches properly identified and in clean, closed boxes
Circuit fuses, circuit breakers identified
Extension cords in good condition & approved
Motors are clean, free of oil grease
2.6 Housekeeping

Work areas maintained in clean and properly
Floors, aisles, work area free of abstraction, slipping and tripping
hazards
Washrooms and change facilities are clean and well maintained
No spill around the equipment or in walkway
Tools, equipment and material properly stored and not in use
Waste material stored in appropriate containers and disposed of
in a safe manner
Workplace well ventilated and illuminated
Safety & other area sign boards in good condition
Drain channels covered and clean


2.7 Personal Protective / Safety Equipment

Awareness about the use of Personal Protective Equipment (PPE)
Compliance to use of PPE
PPE are in place and well maintained
Breathing Apparatus are inspected regularly and intact
PPE Provided as Required (determined by exposure)
Head protection
Eye protection
Ear protection
Foot protection
Hand protection
Exposure proof Clothing
Respiratory protection
Safety Shower / Eye Washer
Provided as required
In good condition
Located visibly
Accessible
Inspected regularly
2.8 Health & Environmental Controls
Odours that may indicate unhealthy conditions
Noise level while work is under way
Clean and free of debris, spilled materials, dirt, etc.
Lighting and illumination satisfactory in all areas
Hygienic conditions
Spill Control / Secondary Containment


FM-ZCEHSCOP11-01
EHS AUDIT CHECKLIST FOR FACILITIES RECOMMENDED FORMAT
Location/Area: Date:

ITEM CHECKED REMARKS ITEM CHECKED REMARKS
Administrative Control
Safe Operating Procedures (SOP) Compliance Trainings
SOP Awareness

Safety Training

Toolbox Talk

Emergency Response

Work Permit

Safety Equipment Use

Emergency Plan

First Aid Training

Lockout/ Tagout

Records
Safety Inspections

Training

Material Safety Datasheets (MSDS)

Incidents

Health & Environment Regulation

Safety Inspections

Equipment Inspection

Physical Control
Machinery & Equipment Electrical
Condition Condition

Safeguarding Protection

Labeling Housekeeping
Hand & Power Tools Slip/Trip/Fall

Condition Drain Channels

Use Waste Disposal

Storage Any Spill / Leak

Safe Storage of Items

Personal Protective Equipment (PPE) Emergency Exit

Availability Material Handling & Storage
Condition Equipment Condition

Compliance SOP Followed

Fire Protection Equipment Storage Condition

Identification Health & Environment Controls
Availability Ventilation
Condition Illumination

Accessibility Noise Level
Inspected Spill Control / Sec. Containment

Knowledge to Use Hygiene Conditions



ITEM CHECKED REMARKS ITEM CHECKED REMARKS
Safety Shower / Eye Washer / First Aid Box (as applicable) Other Unsafe Conditions
Availability
Accessibility
Condition
Inspection

Audit Team Members
Signature:

Name / Designation



FM-ZCEHSCOP11-02
EHS AUDIT CHECKLIST FOR BUILDING RECOMMENDED FORMAT

Area / Building / Floor No. Inspection Date:
Inspected By: Location:
= Satisfactory X = Needs improvement N/A = Not applicable

No. AREA / ACTIVITY FINDING
WORK ENVIRONMENT
1. Office well Illuminated.
2. Ergonomic hazards, e.g. awkward posture, prolonged repetitive motion, etc.
3. Work area is clean, orderly and dont present any hazard
4. Area Ventilation and Humidity Level
5. Clean Environment (free of cigarettes smoke, fumes or bad smell etc.)
6. Smoking habits & provisions
7. Computer monitors are positioned or guarded to avoid glare.
8. AC thermostats are working properly.
9. Unobstructed air movement and vents
10. Chairs and chairs caster are in good condition
11. Noise Pollution
12. Paper shredder guarded
13. Common use office items within easy reach of employee while seated
14. Sharp edge office items stored with sharp side down
15. Dustbins available and cleaned up regularly
16. Rubber or plastic floor mats are provided to prevent the chair from rolling off?
17. Employees tea/coffee habits while working on Personal Computer
18. Others:


REMARKS

OFFICE LAYOUT
1. Furniture is arranged to avoid any potential hitting hazard
2. Furniture posing no obstruction during emergency evacuation
3. Furniture with no potential hitting hazard (sharp edges or corners)
4. Furniture layout facilitates employees for easy movement
5. Others:
REMARKS

WALKING SURFACES (SLIPS/TRIPS/FALLS)
1. Aisles correctly established and clear
2. Are passageways and work areas clear of obstructions? No tripping hazards.
3. Floors dry - not slippery
4. Cords (Electrical, Telephone etc.) not stretched across aisles or under carpets
5. Entrance mats available and used in wet weather
6. Carpet is secure and free of tears, lumps or loose pieces
7. Trash bins are not posing any tripping hazard
8. Floor level posing no tripping hazard
9. Others:



REMARKS

ELECTRICAL SAFETY
1. Electrical outlets not overloaded
2. Equipment properly grounded (3 pronged plugs)
3. Electrical cords and plugs are in good condition
4. Extension cords are not substituted for permanent wiring
5. Electrical sockets/switch are visible & accessible
6. The multiple outlet strips have a circuit breaker
7. Cord guards are provided across an aisle or other pathways
8. 3 way switches are safe and of good quality
9. All extension cords connected directly to wall socket, no multiple extensions
10. Others:
REMARKS

STAIRWAYS, AISLES, STORAGE ROOMS, HALLS,
1. Adequate lighting in stairways, aisles and storage rooms
2. Stairways clear - not cluttered
3. Stair treads in good condition
4. Handrails installed and in good condition
5. Halls kept clear of equipment and supplies


6. Housekeeping good in storage rooms
7. Others:
REMARKS

EMERGENCY PROTECTION
1. Emergency exit doors clearly marked and accessible
2. Emergency exits doors closed securely all the times
3. Emergency contact number clearly posted
4. Fire extinguishers available and fully charged
5. Fire extinguishers are visible and accessible
6. Fire extinguishers inspected regularly
7. Fire alarm call points visible & accessible
8. Smoke detectors & sprinklers clear from any obstruction
9. Smoke detectors & sprinklers test program
10. Accident/Incident reporting Form available?
11. Others:
REMARKS

COOKING AREA
1. General hygiene conditions
2. Electric Appliances Condition


3. Electric Connections & Fittings
4. Grounding Provided as Required
5. Potential contact with electrical/hot equipment
6. Potential hazard of water contact leading to electric shock
7. Drinking Water Filter condition and change frequency
8. Waste disposal
9. Others:
REMARKS

MATERIAL STORAGE & HANDLING
1. Bookcases, cabinets and shelves are not overloaded
2. Heavy storage shelves are properly secured to wall
3. Only one drawer in a file cabinet is opened at any one time to prevent tipping
4. File drawers closed when not in use
5. Bookcases and cabinets secured against tipping
6. File cabinets positioned to avoid being caught in between to objects when opened.
7. File cabinets, drawers, doors positioned to avoid opening into an aisle or walkway.
8. Safe step stools and ladders properly used when needed
9. Items are stored on shelves properly stacked & weight distributed evenly
10. Tables & drawers are in good condition
11. Waste combustible material (papers, files etc.) not pileup in office/cabinets
12. Cabinets are positioned to avoid any accidental fall of stored material on employee
13.
Files/folders are stored properly in cabinets to avoid any accidental fall while handling



14. Portable machines & temporary devices are positioned for not to be knocked over
15. Employees are aware about safe lifting techniques
16. Material storage is not obstructing light or ventilation
17. No unsafe practice e.g. using chairs as step stools, improper storage, etc
18. Chemicals (toilet cleaners, detergent etc.) are stored separate & secured
19. Others:
REMARKS:

AUDIT TEAM
NAME SIGNATURE DESIGNATION DATE



FM-ZCEHSCOP11-03
EHS INSPECTION CHECKLIST RECOMMENDED FORMAT
LOCATION / AREA: Date / Time of Visit:
TYPE OF REPORT: INITIAL [ ] FOLLOW-UP [ ]
ITEMS TO BE CHECKED (UNSAFE CONDITIONS / UNSAFE ACTS)
PPE COMPLIANCE (As Applicable)
Safety Glasses, Safety Helmet, Ear
Plugs, Goggles/face shields, Safety
Shoes, Gloves, Fall Protective, Face
Masks, Protective Clothing, Uniform
FIRE PROTECTION
Fire Extinguishing Equipment
condition, availability & accessibility,
Info signs.
TOOLS (As Applicable)
(Condition & Storage)
Power Tools (Hydraulic, Pneumatic,
Electrical, Grinders, Jack Hammers,
etc.), Hand Tools
HOUSEKEEPING
Aisles, Stairs, Floors, Walkways,
Material Storage, Exits, Egress,
Offices, Dining Facilities, Wash
Room, Waste Disposal, Parking
Area, Workshops, Trenches,
Drains, Tripping Hazards, Spills
VEHICLES & EQUIPT.
Tankers, Trucks, Forklift,
Elevators, Cranes, Hoists,
Cables, Ropes, Chains, Slings,
Compressors, Electricity
Generators, Gas Cylinders
(storage, proximity distance),
Safety Shower
MACHINERY
Belts, Conveyers, Pulleys,
Gears, Machine Guarding,
shafts, Cleaning, Oil spills,
leakages etc.
MISCELLANEOUS
Materials Storage including
Flammables and Hazardous
Chemicals (compatibility
issue), Material Labelling,
Protection for Dusts, Vapour,
Fumes, Excavations, MSDS,
Ladders, Scaffolds, First Aid
Kit, Light and Ventilation,
Warning / Safety Signs, etc.
FINDINGS RECOMMENDATIONS ACTION BY

Use Separate Sheets if Required

PREPARED BY (Inspection Team)

Name / Position / Sign.

Copy: Responsible Department / Section (as mentioned in column 3) / HSE Department

ZC COP EHS11 Audits & Inspections

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