NTPC

SAFETY
FRAMEWORK
Approved for Implementation by Sh. Ramesh Babu V, Director (Operations).
E Office Ref. No. EOC/SAFETY/2020-21/SFW APPL/895674.
Date: 14-07-2021.

Routed through: Executive Director, Corp Operation Services, as part of integration of technical and
safety documentation, for inclusion in the technical documentation system.
Enquiries to: Head-Corporate Safety.
Issue: 01. Revision: 00.
 TABLE OF CONTENTS
TABLE OF CONTENTS 3
INTRODUCTION 4
OVERVIEW OF THE NTPC SAFETY FRAMEWORK 5
COMPONENT 1. SAFETY POLICY & OBJECTIVES 14
ELEMENT 1.1 - SAFETY POLICY - ISSUE, REVISION & AWARENESS 14
ELEMENT 1.2 – MANAGEMENT COMMITMENT AND SAFETY ACCOUNTABILITIES 14
ELEMENT 1.3 – APPOINTMENT OF KEY SAFETY ROLES 17
ELEMENT 1.4 – EMERGENCY RESPONSE PLANNING 18
ELEMENT 1.5 - SAFETY OBJECTIVES & SAFETY PLANS 20
ELEMENT 1.6 – SAFETY DOCUMENTATION 21
PERFORMANCE MEASURES - COMPONENT 1 25
COMPONENT 2. SAFETY RISK MANAGEMENT 27
ELEMENT 2.1 – HAZARD IDENTIFICATION 29
ELEMENT 2.2 – SAFETY RISK ASSESSMENT AND MITIGATION 29
ELEMENT 2.3 - INCIDENT REPORTING & INVESTIGATION 31
ELEMENT 2.4 - INCIDENT RECALL 34
PERFORMANCE MEASURES - COMPONENT 2 36
COMPONENT 3. SAFETY ASSURANCE 37
ELEMENT 3.1 – LEGAL, STATUTORY & OTHER COMPLIANCES 37
ELEMENT 3.2 – SAFETY PERFORMANCE MONITORING & MEASUREMENT 37
ELEMENT 3.3 – MITIGATING HEALTH RISKS: SANITATION, PERSONAL HYGIENE AMENITIES 41
ELEMENT 3.4 – THE MANAGEMENT OF CHANGE 42
ELEMENT 3.5 – CONTINUAL IMPROVEMENT 43
ELEMENT 3.6 - CONTRACTORS & CONTRACT CONTROL 44
PERFORMANCE MEASURES - COMPONENT 3 47
COMPONENT 4. SAFETY PROMOTION 49
ELEMENT 4.1 – COMPETENCIES & TRAINING 49
ELEMENT 4.2 – SAFETY COMMUNICATION 50
ELEMENT 4.3 – SAFETY AWARENESS, REWARDS & RECOGNITION PROGRAMS 52
PERFORMANCE MEASURES - COMPONENT 4 54
ANNEXURE 1 - APPOINTMENT OF KEY SAFETY ROLES 55
ANNEXURE 2 – ROLE-WISE SORTED PERFORMANCE MEASURES FOR ALL COMPONENTS 62
CONSOLIDATED PERFORMANCE MEASURES FOR: RED 63
CONSOLIDATED PERFORMANCE MEASURES FOR: CC&M / Shared Services 65
CONSOLIDATED PERFORMANCE MEASURES FOR: Corporate-OS 66
CONSOLIDATED PERFORMANCE MEASURES FOR: Corporate HR & PMI 67
CONSOLIDATED PERFORMANCE MEASURES FOR: CC - Safety 68
CONSOLIDATED PERFORMANCE MEASURES FOR: HOP 71
CONSOLIDATED PERFORMANCE MEASURES FOR: HODs HOSs Area Engineers 76
CONSOLIDATED PERFORMANCE MEASURES FOR: Site Safety Coordinator 78
 NTPC SAFETY FRAMEWORK

INTRODUCTION

NTPC’s Safety Policy (Policy) identifies - Corporate Safety in associations with other Corporate
functions to prepare and review safety framework for ensuring zero incidents. The aim of this
document is to provide such a framework.

PURPOSE
The Safety Framework (SFW) is envisaged to provide a consistent conceptual structure and serve
as the guidance document to the various functions and roles. It contains a set of expectations that
ensure that all efforts are aligned with the overall Policy and objectives of NTPC. The expectations
are expressed broadly in the form of components – Safety Policy, Safety Risk Management, Safety
Assurance and Safety Promotion.

This Framework also covers functional implementation expectations: what the different functions
& roles must do to implement a robust system and provides essential guidance how it will be
accomplished. To facilitate such guidance, where required, Components are divided into smaller
Elements and Processes.

OVERVIEW OF THE FRAMEWORK

The Framework comprises of Components which cover the crux of effective safety management:
Safety Policy, Safety Risk Management, Safety Assurance and Safety Promotion.

COMPONENT 1. SAFETY POLICY AND OBJECTIVES

The Chairman & Managing Director is responsible to issue and review the Safety Policy periodically
with the objective to clearly state the Management’s and the Company’s policy on occupational
health & safety. The Policy thus laid out, serves as the foundation for the NTPC Safety Framework,
its Components and Elements. The Business unit, functional and individual employee goals and
objectives are typically aligned to those of the overall organization.

COMPONENT 2. SAFETY RISK MANAGEMENT

The objective is to ensure that a formal system of hazard identification is in place so that the
activity or, situation posing the risk may be avoided, accepted, reduced, shared or, transferred,
depending on the facts and circumstances.

COMPONENT 3. SAFETY ASSURANCE

The objective is to ensure that all projects comply with safety policy, rules, procedures, legal
requirements in achieving safety targets and objectives, ensure continual improvement and
effectiveness of implementation of the safety framework; through regular inspections, audits and
reviews, in order to provide assurance that procedures are followed and appropriate controls are in
place. Safety Assurance also includes Contractors and Contract Control to ensure Safety Policy
objectives are achieved effectively.

COMPONENT 4. SAFETY PROMOTION

The objective is to promote Safety as a core value with practices that facilitate & support a sound
safety culture. Elements of such promotion include communication, training & promotional
activities.
 OVERVIEW OF THE NTPC SAFETY FRAMEWORK

Safety Framework flows from Safety Policy

Components that lay out objectives are next split into Elements that detail guidance on functional
& implementation aspects of the framework; where required, Elements are divided into Processes.
 Overview

COMPONENT 1. SAFETY POLICY AND OBJECTIVES

The Objective is to clearly state Management’s

and the Company’s policy on occupational
health & safety and to publicize this on-going
commitment among all staff & stakeholders.
 ELEMENTS OF COMPONENT 1. SAFETY POLICY AND OBJECTIVES

Management shall demonstrate its commitment and responsibility

Element 1.1
by clearly stating the Company’s policy on occupational health, safety
Safety Policy
Formulation and to communicate this on-going commitment among all staff and
stakeholders.

Element 1.2 This Element details the roles, responsibilities and accountabilities
Management under this Framework. Such assigned responsibilities and
Commitment &
accountable resources include: Heads of Projects (HOPs), Corporate
Safety
Safety function, Regional and Site safety functions, Medical staff.
Accountabilities

The Objective of this Element is to ensure suitable roles are appointed

Element 1.3
at the Company and its business units to coordinate health & safety
Appointment of
Key Safety Roles programs, meet statutory compliances and to provide necessary
support to Management, REDs/HOPs and employees.

Element 1.4 To develop and maintain emergency response plans for the protection
Emergency
of personnel & property of NTPC and the general public and for the
Response
Planning recovery from emergencies/disasters in the shortest possible time.

Element 1.5 Safety Objectives would be formulated to provide focus and direction
Safety for achievement of Safety Policy. Safety Plans shall be in place to
Objectives, achieve all such objectives. Safety documentation shall be in place
Plans & covering all aspects of safety policy implementation, which shall be
Documentation reviewed and revised periodically.
 Overview

COMPONENT 2. SAFETY RISK MANAGEMENT

The Objective is to identify and assess health & safety

risks through a dynamic, formal, structured and holistic
process; facilitating effective risk reduction plans &
actions; using both proactive and reactive processes.
 ELEMENTS OF COMPONENT 2. SAFETY RISK MANAGEMENT

Proactive processes should be put into practice for hazard

Element 2.1
identification and safety risk management. Common corporate
Hazard
Identification system shall be in place for facilitating this process. Reactive Process
includes both formal and informal incident investigation results.

System shall be in place to ensure identification of hazards and their

Element 2.2 analyses; assessment and mitigation of safety risks. Reactive Process
Safety Risk
for safety risk management includes both formal or informal incident
Assessment &
Mitigation investigation results.

The Objective is to ensure that all safety & health incidents are
recorded and reported in compliance with the company and legal
Element 2.3 requirements and to develop a corporate memory of health & safety
Incident Reporting incidents to facilitate effective communication, internally and
& Investigation externally. And, to ensure that all incidents are investigated, to
minimize or eliminate possible recurrence.

The Objective is to establish and maintain a continual safety & health

Element 2.4 awareness of the potential hazards in the Company by conducting
Incident Recall periodic review of all types of past incidents so as to, trace conditions
and experience, to positively influence behavior and actions.
 Overview

COMPONENT 3. SAFETY ASSURANCE

The Objective is to ensure that all business units comply

with safety policy, rules, procedures, legal requirements
in achieving safety targets and objectives. And, to
ensure continual improvement and effectiveness of
implementation of the corporate framework; through
regular visits, inspections, audits, interactions and
reviews.
 ELEMENTS OF COMPONENT 3. SAFETY ASSURANCE

The Objective of this Element is to ensure that a system is in place to

Element 3.1
monitor legal & other requirements that cover NTPC’s activities, to
Legal & other
compliance ensure compliances and monitor changes in such requirements, so
that they are flagged in time.

The Objective is to ensure close and continuous monitoring of health

& safety performance and assurance actions, covering different
Element 3.2 aspects like: compliances, hazard reporting systems; safety audits;
Safety and incident investigations - to provide assurance that procedures are
Performance followed, and appropriate risk controls are in place. To measure &
Monitoring & utilize incident data in a proactive way for reducing the severity and
Measurement frequency of health & safety incidents. And, to ensure continual
improvement and effectiveness of implementation of the safety
framework.

Element 3.3 The Objective is to ensure provision of adequate personal hygiene

Mitigating Health facilities at the workplace; to ensure that health risks are identified
Risks - Sanitation and managed, and; that all such facilities are maintained with high
& Personal standards of cleanliness and hygiene.
Hygiene Amenities

The Objective is to ensure that a documented procedure shall be in

Element 3.4 place and adhered to, for controlling modification authorization and
Management of
execution for changes to plant, which can impact prior safety risk
Change
assessments.

Element 3.5 The Objective is to ensure that a system is in place to ensure continual
Continual
improvement.
Improvement

The Objective is to ensure that safety risks associated with contractors

Element 3.6 and contracts are managed; that, Safety & health conditions of
Contractors &
contract are defined prior to placement and management regulation
Contracts
shall be in place to ensure compliance to those conditions to prevent
Control
incidents.
 Overview

COMPONENT 4 - SAFETY PROMOTION

Corporate Safety with support of other functions & roles,

shall promote Safety as a core value,

with practices that facilitate

& support a sound safety culture.

 ELEMENTS OF COMPONENT 4. SAFETY PROMOTION

The Objective is to ensure that various levels of employees and the

Element 4.1 contracted workforce are adequately trained in health & safety rules,
Competencies policy and techniques, thus enabling them to become more
& Training competent and motivated to positively influence the total health &
safety process in the company.

Element 4.2 The Objective is to ensure that formal and informal systems are in
Safety place to ensure all staff are conversant with Safety Policy and, to
Communication convey specific and generic safety information.

The Objective is to create a positive safety culture within all levels of

Element 4.3
the workforce through promotional programs like competitions
Safety Programs
posters, films, suggestion schemes.

NEXT, EXPECTATIONS FROM EACH COMPONENT ARE DETAILED IN TERMS OF ITS

FUNCTIONAL & OPERATIONAL ASPECTS.
 Component 1. Safety Policy & Objectives

ELEMENT 1.1 - SAFETY POLICY - ISSUE, REVISION & AWARENESS

The Chairman & Managing Director (CMD) of the Company is responsible to issue and review the
Safety Policy periodically, with the objective to clearly state the Company’s policy on Occupational
Health & Safety. The Policy thus laid out, serves as the foundation for this NTPC Safety Framework,
its Components and Elements.

The Safety Policy statement shall include: a statement of the Company's general policy with regard
to the safety and occupational health; focus on hazard identification and risk mitigation; a system
of allocation of responsibilities to implement the Safety Policy and the arrangements as to how the
responsibilities are to be executed; a requirement that Safety objectives and performance be
included in performance appraisals and; a commitment for continual improvement and
prevention of incidents.

The Safety Policy statement signed by the CMD shall be prominently displayed on the premises of
the Company and on its website.

The CMD shall review the Safety Policy of the Company at least once every 2 years or, as soon as is
practicable for other reasons which warrant such a review. Corporate Safety shall be responsible to
keep the Top Management informed of such need for reviews, time-bound or, otherwise.

Corporate Safety shall be responsible to ensure that employees and contractors are aware and
periodically reminded of their responsibilities/accountabilities under the Safety Policy.

ELEMENT 1.2 – MANAGEMENT COMMITMENT AND SAFETY ACCOUNTABILITIES

This Element details the roles, responsibilities and accountabilities under this Framework.

NTPC Top Management is committed to attain its business objectives through ongoing compliance
and improvement of its safety system. As part of this commitment, the Top Management has
ensured that: Safety Policy is established, required resources are made available, the importance of
meeting stakeholder, statutory and regulatory requirements is communicated to all staff in the
organization, safety objectives are formulated, safety plans are in place, and periodic management
reviews are conducted that include safety performance reviews.

Resources requirement is planned and projected through Business Plans/Memorandums of

Understanding (MOU) and provided accordingly by the Top Management. Monitoring of the
provided resources is done in periodic reviews conducted by Top Management to ensure resources
availability to meet the objectives.

Subordinate and Business unit managers are appointed to act for, and on behalf of the Company to
control, manage and execute Safety matters. Such assigned responsibilities and accountable
resources include: at Corporate (CC-Safety) & Regional level Executive Directors (REDs), Heads of
Projects (HOPs), Medical Officer. General and specific responsibilities of such appointed officers is
detailed below.
General responsibilities:

 Be responsible and accountable for Health & Safety performance, at areas under their control.
 Be familiar with & ensure compliance with, all pertinent statutory & regulatory requirements,
at all times.
 Assign competent persons under their control to assist in performing duties to comply with
statutory or, other requirements under this Framework.
 Ensure provision of information, instruction, training and supervision to ensure health and
safety at work, of persons employed or, set off to work;
 Ensure that the personnel performing work affecting process performance, and management
systems are competent based on appropriate education, training, skills, experience or, a
combination thereof.
 Ensure a working environment that is safe and without risks to health.

Specific Responsibilities and Accountabilities

REGIONAL HEADS (REGIONAL EXECUTIVE DIRECTORS)

 Ensuring that all work activities under their control are carried out in adherence with the
Safety Policy.
 Ensuring that Heads of Projects/Stations are individually accountable for implementation of
this policy and ensuring they have the necessary skills in safety management.
 Setting appropriate standards for safety in their work area.
 Putting Safety as a part of appraisal system, both for self and their teams.
 Ensuring risk assessments are conducted for critical works at Sites.
 Ensuring that safety audit is conducted periodically through third party at all sites.
 Regularly discuss with regional HOPs on the duties and responsibilities assigned to them.

HEAD OF PROJECT

 Implement Policy by interpreting the corporate standards and translating them into “local
management standards” and work instructions, in order to suit local site conditions. Ensure
safety related documentation is in place in line with this Framework.
 Ensuring identification, assessment and mitigation of all hazards in their Site.
 Ensure all Appointments laid out in this Framework are in place, including establishing
rotating cross-functional team for internal audits.
 Ensure contracts safety clauses are implemented, site safety induction and relevant work
training inputs are given to all contract workmen who are working in their site premises.
 Ensure contractors are deploying relevant safety equipment in its area of work.
 Regularly discuss with superior & subordinate managers, on the duties and responsibilities
assigned to them.
 Ensure performance of the projects’ employees on safety and occupational health is included
in their individual periodic performance appraisals and in addition in case of HOD/HOSs their
departmental safety performance is included as part of their periodic performance appraisals.
 Ensure to include in contractor performance feedback their conformance to contractually
required safety and occupational health standards before contract closure.
CORPORATE SAFETY

 Act as single-window to Top Management on Safety Assurance. Provide specialist advice and
support services for Top Management and the business units in the implementation of the
Safety Policy and Framework.
 Provide rules / system / procedural enablers wherever required, to implement and adhere to
Safety framework. To achieve the same, CC-Safety shall develop with Corp-OS, applicable
standard documentation and minimum requirements in satisfying implementing the Safety
Policy and Framework; including standardization of frequently bought safety system related
items. Review feedback and revise the standards whenever appropriate and issue the same,
through Corp-OS.
 Ensure that all changes of relevant safety, health legislation and company policy are
communicated to all regions and projects and incorporated in the corporate documentation
through Corp-OS.
 Monitor emergency preparedness of all Regions.
 Review and recommend safety relevant clauses for material & services contract documents.
Ensure that contractor programs are compliant with corporate standards.
 Develop and maintain centralized repositories and facilities for implementing Safety Policy
and Safety Framework.
 Ensure that safety rules / systems / procedures are being implemented at all work areas
through regular visits, interactions and reviews.
 Prepare a calendar for all audits / reviews and shall ensure adherence to the schedule.
 Present its analysis on progress of safety framework implementation and safety culture of the
Company to senior management periodically.
 Shall come up with detailed role safety training requirements, for effective implementation of
Policy.
 Support HR Function to identify and organize appropriate training and coaching resources for
the sites; review program effectiveness and suitability.
 Develop a systematic process to collect data and analyze the causes of accidents and generate
required reporting.
 Implement initiatives to reduce and prevent accidents, occupational illnesses and exposure to
long-term health hazards.
 Ensure wide dissemination of Safety policy, rules, safety analysis and best practices, in
association with the Corporate Communication Department.
 Gather inputs internally & from other leading Organizations and review the Safety framework
along with Corporate-OS, periodically.

REGIONAL SAFETY OFFICES:

 Provide necessary services in compliance to the corporate standards.

 Ensure emergency preparedness mock drills are conducted by all regional Sites.
 Accountable for all the audit related processes in the region.
 Provide necessary information database for the business units, e.g. loss data, training records.
 Provide specialist advice, technical supports and supplementary references for the business
units, towards effective implementation of the specific element(s) of the Safety Framework.
 Assist in the establishment of the relevant section of the corporate standards.
CORPORATE MEDICAL OFFICER

To maintain optimum health status of workforce through the provision of a holistic occupational
health service in order to ensure early identification of disabilities, occupational diseases of all
employees, for deploying the right persons for specific jobs and to assess the effectiveness of the
health and hygiene program at the workplace. Responsibilities include and are not limited to:

 The Company's occupational health service/facilities, such as clinic should be adequately

sized/staffed, and accessible.
 The operation time for Occupational health service facilities should be synchronized with the
project/production work or otherwise emergency first-aid service shall be available.
 Ensure that Occupational health service/facilities are equipped with essential equipment for
the purpose such as first-aid facilities in the First Aid Room.
 Establish Purchasing specifications for equipment and medicine stocks.
 Monitor that Medical equipment are properly maintained, serviced and calibrated.
 Occupational health service/facilities should cater for identified risks including emergencies.
 Monitor for adequacy of qualified medical staff & first-aiders at the sites in compliance with
the legal requirements.
 Medical/health records control is implemented and maintained and applicable confidentiality
code of patient information shall be maintained.
 Appropriate controls should be imposed against infectious diseases (e.g. hepatitis B, HIV,
COVID-19, Swine Flu, Avian Flu etc.)

ELEMENT 1.3 – APPOINTMENT OF KEY SAFETY ROLES

Suitable roles are appointed (nominated, designated or deployed) at projects to coordinate Health
& Safety programs and to render necessary service and advice to the business unit management
and employees. Employees are also appointed at the specific business unit to perform necessary
statutory roles there. Safety function is not a specialist in all types of works and cannot be expected to
proffer detailed guidance for all types of works. To insure quality of advice, HOPs should ensure
representation from all functions in such appointed roles. All levels of management should know
in writing what is the responsibility and accountability of the roles appointed. The non-exhaustive
list of such Key Safety Roles that are required to be appointed is given below.

 Safety Officer/Coordinator.  Scaffolding and Ladder inspector.

 Emergency coordinators.  Lifting equipment inspector.
 Emergency management team members.  Portable electrical equipment inspector.
 Safety committee & its members.  Stacking supervisor for stores.
 Safety stewards/representatives.  Incident investigator.
 CoSHH - Hazardous Chemical Substances  Internal Auditor, rotating cross-
(HCS) coordinator. functional team for internal audits.
 Permit-To-Work System appointments -  Occupational hygienist.
SAP, AP & CP.  Occupational health/medical
 Nominated Supervisor. practitioner.
 Selected Person.  Occupational health nurse(s).
 Hot work assessor.  First aider(s).

The responsibilities for some Appointed Key Safety Roles are laid out in more detail in Annexure 1.
ELEMENT 1.4 – EMERGENCY RESPONSE PLANNING
The Objective of this is to develop and maintain Emergency Response Plans, also referred to as
Disaster Management Plans (DMP) or Emergency Management Plans (EMP) or Emergency Action
Plans (EAP), for the protection of personnel and property of NTPC and the general public and for
the recovery from emergencies and disasters in the shortest possible time. CC-Safety shall ensure
Emergency Management Plans are in place for the company as a whole, annually. Regional Safety
Offices shall ensure that all regional sites have emergency plans in place and monitor their periodic
testing. HOPs shall ensure adequacy of emergency action plans, at least twice a year.

There are three possible scenarios with respect to responsibility for Emergency Response, in
projects: Construction phase, Brownfield expansion/partly operational and fully operational.

 In the construction phase, the contractors are responsible for emergency response plans for their
areas of execution, NTPC has a monitoring role as the project developer.

 In brownfield expansion or partly operational projects, in the construction area/zone the

contractors are responsible for emergency response plans for their areas of execution, NTPC has
a monitoring role as project developer. Within the partly operational area/phase, NTPC is
accountable for emergency response actions. The HOP shall ensure in place hard barricading or
equivalent statutorily accepted means, for unambiguous demarcation of construction and
operational areas to ensure clarity of applicability and accountability for emergency response in
the areas/zones.

 In the fully operational plants, NTPC is accountable for emergency response actions.

EMERGENCY RESPONSE PLAN

Emergency Response Plans should be in writing and cover all the procedures considered necessary
to cater for all assessed emergency situations, be it natural or man caused, and be available on site.
In planning its emergency response, the site shall take account of the needs of relevant interested
parties, e.g. government emergency services and neighbors. The following shall be considered
while planning to tackle emergencies/disasters:

 Situations that can lead to emergencies or disasters are to be identified and listed. Emergency
response plan should be developed for each type or category of emergency according to risk.
 The plan should be reviewed and endorsed by HOP for the site & RED for the region. CC-Safety
shall ensure ERPs are in place for all sites, regions and the company as a whole.
 The plan shall identify the specific roles, responsibilities and action to be taken in the event of
an emergency.
 Planned routes should be established for easy access to medical facilities/muster points.
 Provision should be made for the emergency referral to the doctor/hospital.
 The evacuation plan should make provision for the physically challenged people that work in
the site.
 Staff involved in the event of emergency should be adequately informed & trained in the
procedures.
 Relevant plans should be introduced to all employees as part of the induction program.
 The ERP shall also identify communication requirements to affected interested parties such as
local community and emergency services as appropriate.
 The site shall periodically test its emergency action procedure(s) to respond to emergency
situations; involving relevant interested parties as appropriate, at a frequency complying with
legal requirements or, higher.
 The plan should be reviewed and revised if necessary, after periodic mock drills or, any actual
occurrence of emergency incident.

EMERGENCY RESPONSE TEAMS

 HOP shall ensure Site Emergency Response teams such as rescue team, first-aid team, spill
control team are set up to cope with the type of emergency and to facilitate site-relevant
emergency response plans.
 Emergency services teams should be trained in their duties and involved in regular emergency
drills.
 Emergency services teams should be able to carry out their tasks to prevent further losses to
property and equipment or injured personnel.
 Emergency services teams should be familiar with potential safety, health and environmental
risks encountered in their duties and they should be aware of the proper use of personal
protective equipment and their limitations.
 HOP shall monitor adequacy of emergency action plans, at least twice a year.

EMERGENCY COORDINATOR

 A person should be appointed at every location to coordinate the emergency action plan.
 The coordinator should be capable of taking charge and ensuring that the relevant emergency
plans are brought into action, at the required time.
 The coordinator should also be a person who can deal with government bodies and officials.
 The coordinator for the emergency action plan should be trained in the plan requirements.
 An alternate coordinator should also be appointed as backup.
 Site Safety Coordinator shall monitor availability of persons for all appointed roles and include
the status in quarterly reviews.

CONTROL CENTER/ EMERGENCY EQUIPMENT

 This arrangement shall be as specified by law or, NTPC standard, whichever is higher.
 A designated control center with appropriate communications equipment, other emergency
equipment, ERP copy, etc. should be established for handling major emergencies.
 An alternative control center should be identified in the event of the main control center being
rendered inoperative/inaccessible.
 Emergency power supply should be planned and available for emergency lighting,
communication and equipment.
 Appropriate spill control equipment should be made available and ready for use to handle
expected environmental emergencies.
 Consideration should be given to the special types of equipment that may be needed for the
expected emergencies and regular check should be carried out on the equipment to test its state
of readiness for action.
 Periodic review including adequacy of the emergency management infrastructure is to be
ensured by the Site Safety Coordinator and records maintained.
MAINTENANCE OF EMERGENCY EQUIPMENT

These dedicated control centers should be equipped appropriately and, maintained in appropriate
working order. An indicative list of such equipment is listed below:

 Portable battery-powered loud speakers.  Emergency alarm systems.

 Fire tenders.  Communication systems.
 Portable fire-fighting equipment.  Portable lighting arrangements.
 PPE, based on assessed risks.  Spill containment equipment.
 Uninterruptible power supply (UPS).  Life jackets/buoys/rafts.

Periodic inspection of the emergency equipment is to be ensured by the respective HOD/HOS and
records maintained.

ELEMENT 1.5 - SAFETY OBJECTIVES & SAFETY PLANS

To provide focus and direction towards achieving zero incidents, Sites’, Regions’ and Corporate
functions shall establish, implement and maintain documented Occupational Health & Safety
objectives, relevant to their functions and levels within the organization. Regional, Site, functional
and individual employee goals and objectives are typically aligned to those of the overall
organization.

PROCESS 1.5.1 SAFETY OBJECTIVES

Safety objectives shall be consistent with the Safety policy, including the commitments to achieve
Zero incidents, to the prevention of injury and ill health, to comply with applicable legal
requirements and with other requirements to which the organization subscribes, and to continual
improvement.

While establishing and reviewing its objectives,

 Sites & Corporate functions shall take into account the legal requirements and other
requirements.
 Objectives should be commensurate with location’s identified risks.
 Consider technological options, financial, operational and, business requirements and also the
needs of relevant interested parties/stakeholders.
 All levels of management (Corporate, Region & Site) should set annual Safety objectives and
targets within their respective responsibilities and accountabilities.
 Objectives and targets should be specific, measurable, achievable, reasonable and time-bound.
 Objectives should be documented at appropriate levels in the Company.
PROCESS 1.5.2 SAFETY PLAN
Safety Plans are formulated as Management Programs and other Plans to achieve Safety objectives
within a specified time frame.

 All levels of management should establish plans indicating how objectives and targets within
their respective responsibilities and accountabilities are going to be achieved.
 Adequate resources should be made available to implement the plans and associated programs.
 Plans should be developed down to operational level.
 System should be established to track achievement of objectives and targets.
 Employees should be made aware of those objectives and targets, which may be affected by
their activities.
 Employees should be informed of the progress of achievement of objectives and targets.
 Objectives and targets should be updated at appropriate levels.
 Senior Management should review achievement of objectives and targets periodically.

ELEMENT 1.6 – SAFETY DOCUMENTATION

The Policy states that Corporate Safety is responsible for providing policy/rules/system/
procedural enablers wherever required to implement and adhere to Safety framework.
Accordingly, CC-Safety shall work closely with Corporate-OS in making such documentation
available. Purpose of safety documentation is to ensure that all sites and business functions comply
consistently with corporate policy, directives and protocols.

All Safety Documentation shall be consistent with other types of established documentation for
other functions in the company, like Operational Directives, Guidance Notes, Advisories, Rules, etc.
The purpose of safety documentation is to ensure that all tasks with high risk potential for
incidents are identified, analyzed and written safe work procedures compiled for the safe
performance of tasks, and ensure that tasks are performed according to these procedures.

To ensure that all business units comply with Policy, Rules, Framework and Protocols:

 All levels of management should have access to relevant safety documentation.

 CC-Safety, through Corp-OS, shall ensure that up-to-date copies of corporate standards are kept
accessible to all relevant sites and persons.
 HOPs shall ensure that site documentation is established taking cognizance of corporate
documentation.

PROCESS 1.6.1 SAFETY DOCUMENTATION UNDER DIFFERENT FUNCTIONS/ROLES

CONTRACTS FUNCTIONS - CORPORATE/SHARED SERVICES

 Ensure that Safety Clauses under Special Conditions of Contract are drawn up for specific item
or new plant, prior to the tendering/purchasing process, in association with CC-Safety.
 Safety Conditions are explicitly communicated to and accepted in writing by Contractors prior
to commencement of work.
 Ensure recording safety performance feedback from associated HOP as a necessary
prerequisite for closing contracts.
 To ensure minimum quality standards, a list of standard suppliers is made available to Sites for
all replenishment safety items like PPE. Such lists must also be a part of all works contracts, to
ensure quality of safety items/prevent incidents.
 To ensure safe operations, include as part of Contract conditions, that sufficient and adequate
training shall be provided for the employees concerned about the hazards and risks associated
with the new plant, equipment, projects, etc.

CC-SAFETY

 Work with Corporate Contracts/Shared Services to finalize Safety conditions for purchasing
new plant/services are in place and communicated to.
 Review yearly, specifications for the repeat/replenished items like PPE (Personal Protective
Equipment), based on feedback from sites.
 Formulate detailed training requirements (including skill training and culture building) clearly
bringing out the desired objectives, audience and responsibility.
 Work closely with Corporate-OS to ensure availability and accessibility of all corporate level
safety documentation: covering rules, common risks and mitigation measures, to all relevant
persons.
 Monitor, via Regional Safety Offices, availability of safe work procedures, at sites.
 Monitor, via Regional Safety Offices, availability of hazard identification & risk assessments, at
sites.

HOP

 Ensure Site Safety Coordinator is involved in the pre-acceptance inspections, when

appropriate.
 Sufficient and adequate training is provided for the employees concerned about the hazards
and risks associated with the new plant, equipment, projects, modification, etc.
 Precautionary measures for the hazards and risks are communicated to all the employees
concerned.
 Ensure Written Safe Work Procedures (detailed below) are available at the project.

PROCESS 1.6.2 TYPES OF SAFETY DOCUMENTATION EXPECTED TO BE IN PLACE

SAFETY RULES
Safety Rules governing methods of achieving control over hazards from the interconnected
Electrical & Mechanical (E&M) system must be clearly defined and issued. Corporate-OS shall issue
the Safety Rules and make them accessible to all relevant sites and relevant employees.

Such E&M Safety Rules must detail and adhere to the following requirements:

 Specifying the requirement for unambiguous identification of plant and equipment.

 Clearly defining the items of plant and equipment to which the rules apply and any limits in
terms of boundary or termination points with instructions on what to do when isolations are
needed across boundary points.
 Establishing safety clearances for HV equipment and measures to ensure they are not infringed
 Ensuring that, where appropriate, measures for isolation; earthing; venting; draining; purging
and release of stored energy have been taken before work or testing commences on plant
and/or equipment.
 Securing points of isolation to prevent interference with measures to ensure that final control
over the isolation remains with the worker(s).
 Specifying requirement of specialist procedures for essential live working or testing on
electrical equipment or when work requires plant to be energized.
 Requirement of formal nomination of trained and competent people to implement the safety
rules and apply safety precautions incorporating a means to ensure that they are aware of their
responsibilities
 Detail different types of safety documents under which work is executed: Permit to Work
(PTW), Limited Work Certificate (LWC), etc.

HAZARD IDENTIFICATION & RISK ASSESSMENTS

All sites are required to assess ‘risks’ to the health and safety of anyone who may be affected by its
activities (e.g. employees, contractors, visitors, members of the public). Under this Framework, the
basic requirement is to examine what could cause harm to people as a result of work activities and
to make a judgement about whether enough precautions have been taken or, if further actions are
required. Written Hazard Identification & Risk Assessment procedures are to be in place.

Identification of Hazards is at the core of NTPC Safety Policy. The process of such Hazard
Identification & Risk Assessments are dealt with under Component 2.

GUIDELINES FOR SITE SAFETY INSPECTIONS & AUDITS

Written terms of reference shall be available for persons/teams appointed for such site safety
inspections and audits.

WRITTEN SAFE WORK PROCEDURES

Written Safe Work Procedures include any of, and not limited to, the following:

Standard Operating Procedures (SOP)

SOPs are documented procedures identified by the Site to ensure the effective planning and
control of the operations processes. SOPs detail the practices, methods and steps to be adopted
while carrying out routine & non-routine operations activities like High Voltage Switching.

Standard Maintenance Procedures (SMP)

SMPs are documented procedures identified by the Site to ensure the effective planning and
control of the maintenance processes. SMPs detail the practices, methods and steps to be
adopted while carrying out routine & non-routine maintenance activities like preventive,
scheduled and breakdown maintenance works including overhauls, statutory boiler
inspections.

Specific Job Plans

Standard Job Plans list out jobs that are carried out primarily of repetitive nature including
overhauls. Standard Job Plans increase the risk of mistaking equipment. Each site should start
the process of having specific job plans for each equipment. For example, Pump1 and Pump2 in
a system that has two pumps must have two unique Job Plans. The content may be similar but
uniquely identifiable and attachable to maintenance plans. It is expected that the site
demonstrates that it has initiated preparation of such specific Job Plans.

Specific Isolation Lists

These are isolation lists for job plans that are of repetitive nature, including overhauls. Similar
to specific job plans, each site should start the process of having specific isolation lists for each
equipment. For example, Pump1 and Pump2 in a system that has two pumps must have two
unique isolation lists with isolation points mentioned like Pump1 Suction Valve rather than just
Pump Suction Valve. It is expected that the site demonstrates that it has initiated preparation
of such specific isolation lists.

Job Safety Analysis/Method Statements

Job Safety Analysis (JSA) & Method Statements (MS) are similar in intent but vary in scope.

JSA is a written procedure developed to identify the dangers of a particular task in order to
reduce the risk of injury.

A Method Statement is much more detailed and aims to provide adequate levels of information
across all elements of the work in relation to health and safety having particular regard to any
associated hazards / risks. Method Statement will consider 'what', 'when', 'where' and 'how' the
work will be done. Foreseeable hazards should be identified and risk assessments provided to
demonstrate suitable control measures. The detail required must be proportionate to the level
of risk.

All works in the project shall have a JSA attached to the Work Request (physically or,
electronically) as a minimum. For high risk or, larger scope works, Job specific Method
Statements may be necessary where hazards warrant them. HOPs shall ensure that work shall
not commence without a written JSA at the minimum.

During construction, activities that carry high-risk like heavy lifting, site traffic control of
heavy vehicles, etc., should be identified. HOD/Area Engineer shall ensure respective
Contractors submit job-specific Method Statements where hazards warrant them. Assessment
of adequacy of such submitted Method Statements shall include supervision requirements. A
table of high-risk activities with risk-control measures that would be ensured by the contractor
shall be maintained by the HOS/Area Engineer and periodically reviewed by the Head-
Construction.
 PERFORMANCE MEASURES - COMPONENT 1

Monitoring
# Element Process Title Process Owner Input Output Process Measures / KPIs
Accountability
1.1 Safety Policy, Material Changes CC-Safety to prompt the
01 Safety Policy Review CMD Safety Policy Revision Policy Review
Safety Policy affecting Policy CMD office when due
1.1 Region Safety
02 Safety Policy Awareness CC-Safety Safety Policy Employee Awareness Written Confirmation from all employees
Safety Policy Coordinator
1.2 No work stoppage or, incidents due to lack
03 Management commitment RED Resource Requests from Sites Provision for Resources Region OS
Management commitment of resources
1.2 Appointments: Safety Vacancies for roles in Appointments for all specified No vacancies in Key Roles – REDs, HOPs &
04 Corporate HR Corporate HR
Safety accountabilities accountabilities Framework roles as per Framework Head- Corporate Safety
1.3 Appointment of Key Appointments of Key Safety
05 HOP Safety Framework Compliance to Appointments Appointments of all Roles Site Safety Coordinator
Safety Roles Roles
1.4
Emergency response Safety Framework & incident Emergency Plans & mock drills in place for
06 Emergency Response CC-Safety Emergency preparedness CC-Safety
planning - corporate investigations all Sites
Planning
1.4
Emergency response Safety Framework & incident Emergency Plans & mock drills in place for Region Safety
07 Emergency Response RED Emergency preparedness
planning - region investigations all sites in the Region Coordinator
Planning
Safety Framework
1.4
Emergency response
08 Emergency Response HOP Emergency preparedness Emergency Plan in place for the Project Site Safety Coordinator
planning - Project Findings in mock drills &
Planning
incident investigations
1.4 Emergency preparedness
Site Safety Region Safety
09 Emergency Response Emergency preparedness On-site Emergency plan No. of mock drills
Coordinator Coordinator
Planning & findings in mock drills
1.4
Appointments: Emergency Appointment of Emergency Coordinator &
10 Emergency Response HOP Emergency Plan Constitution of EMP Team Site Safety Coordinator
Response Teams EMP Team Members/Roles
Planning
1.4
Emergency Management Site Safety Emergency Plan & Findings in
11 Emergency Response Trained Team Members Training programs, mock drill performance Site Safety Coordinator
Plan training Coordinator mock drills
Planning
1.4
12 Emergency Response Emergency Control Center HOP Emergency Action Plan Emergency Control Center Infrastructure availability & maintenance Site Safety Coordinator
Planning
Previous Year Safety Safety Objectives for the year,
1.5 Safety Objectives - Generation of possible Safety Objectives for
13 CC-Safety Performance measures, Safety Management Plans & CC-Safety
Safety Objectives Corporate regions
Incidents Reviews Programs for the year
Previous Year Safety
1.5 Approved Safety Objectives Communicate Safety Objectives to Sites in Region Safety
14 Safety Objectives - Region RED Performance measures,
Safety Objectives for the year for sites Region Coordinator
Incidents Reviews
1.5 Safety Objectives for the year for List of Safety Plans &
15 Safety Plans – Project HOP % Safety Plans in place for Departments Site Safety Coordinator
Safety Plans sites Programs

1.5 Site Safety Improvement in Health &

16 Safety Plans - progress List of Safety Plans & Programs % Completion of safety plan targets Site Safety Coordinator
Safety Plans Coordinator Safety in workplace
Communication to all staff
1.5 Site Safety List of Safety Objectives, Plans &
17 Safety Plans Communication regarding their safety & Awareness of safety plan targets Site Safety Coordinator
Safety Plans Coordinator Programs
health objectives
 Monitoring
# Element Process Title Process Owner Input Output Process Measures / KPIs
Accountability
Safety Conditions of Contract included in
1.6 Safety & Health related CC&M / Shared Contract execution with Zero
18 Material/Services Requirement standard contract documents for large & CC&M / Shared Services
Safety Documentation Clauses in Contracts Services incidents
small services & supplies
Standardization of quality &
1.6 Procurement of CC&M / Shared consistent quality in safety & List of standard suppliers & brands for
19 Feedback from CC-Safety CC&M / Shared Services
Safety Documentation replenishment items – specs Services health related items across routine replenishment items like PPE
the company

1.6 Takeover of new Head (Project) Head

20 HOP New project Safe Plant Pre-acceptance safety inspection
Safety Documentation plant/modules (O&M)

1.6 Training on new CC&M / Shared Training completion before handover,

21 New project Trained staff CC&M / Shared Services
Safety Documentation plant/modules Services Training records

1.6 Access to Safety Info on new documentation availability to

22 CC-Safety New Documents Accessible documents CC-Safety
Safety Documentation Documentation sites/regions

1.6 Safety Rules (Electrical &

23 Corp OS Works on Plant & equipment Safety Rules Issue of E&M Safety Rules Corporate-OS
Safety Documentation Mechanical)

1.6 Guidelines for Safety Issuance of Guidelines for Safety

24 CC-Safety Framework Guidelines CC-Safety
Safety Documentation Inspections & Audits Inspections & Audits

1.6 Standard Operating Operations Processes & Standard & consistent Number of SOPs issued against number of
25 All HOD/HOSs Head (O&M)
Safety Documentation Procedures (SOPs) Incident Investigation Reports operations practices operations processes identified

Maintenance Processes,
1.6 Standard Maintenance Head Standard & consistent Number of SMPs issued against number of
26 Head (O&M)
Safety Documentation Procedures (SMPs) (Maintenance) maintenance practices maintenance processes identified
Incident Investigation Reports
Head
Specific Job Plans
(Maintenance) Maintenance Processes, Number of job plans available against Head (O&M)
1.6 for maintenance / Standard & consistent job
27 or, Project number of equipment (or) number of (or)
Safety Documentation & for construction – high risk plans
reporting to Incident Investigation Reports critical erection/project activities Head (Project)
activities: lifting etc.
HOP
Operations Processes,
1.6 Head Standard & consistent Number of isolation plans available against
28 Specific Isolation Lists Head (O&M)
Safety Documentation (Operations) Isolation plans number of equipment
Incident Investigation Reports
Specific Job Safety Analysis Head
Number of JSA/MS available against Head (O&M)
1.6 (JSA) /Method Statements (Maintenance) Job Plans, Incident Investigation
29 Zero incidents number job plans/no. of critical (or)
Safety Documentation for maintenance & high risk Or Reports
erection/project activities Head (Project)
project activities Head(Project)
 Component 2. Safety Risk Management

NTPC Safety Policy recognizes all accidents are preventable. And, that the objective is to provide safe
working environment and strive for zero incidents at work. To achieve that objective, one of the
principles the Safety Policy is built around is “Our activities carry various hazards; however, all
such hazards can be identified”. Thus, hazard identification and risk management form the core of
Safety Policy.

Both proactive and reactive processes shall be deployed in safety risk management. Proactive
processes should be put into practice for hazard identification and safety risk management.
Reactive Process for hazard identification and safety risk management includes both formal and
informal incident investigation results and using Incident Recall. The interlinked Safety Risk
Management comprising of hazard identification, risks assessments, incidents analysis and
incident recall is depicted below:
All projects are required to apply the process of safety risk management and deploy the controls
that are necessary to reduce the risks of incidents.

The purpose of this Safety Risk Management element is to recognize and understand the hazards
that might arise in the course of the organization’s activities (proactively & reactively) and ensure
that the risks to people arising from these hazards are assessed, prioritized and controlled to a level
that is acceptable.

This is achieved by:

developing a methodology for hazard identification and risk assessment – Corporate Safety function
shall support Corp-OS in developing a standard procedure and tools for the company and in making
it available to all relevant persons;

identifying hazards - Head of the Project is accountable for, ensuring identifying all the hazards at
the respective project;

estimating the associated risk levels, taking into account the adequacy of any existing controls (it
may be necessary to obtain additional data and perform further analysis in order to achieve a
reasonable estimation of the risk level.);

determining whether these risks are acceptable, and;

determining the appropriate risk controls, where these are found to be necessary (workplace
hazards and the way they are to be controlled are often defined in regulations, codes of practice,
guidance published by regulators and industry guidance documents.). Heads of Sections are
accountable for, ensuring training of workers in the area of work and awareness about the hazards
of the site and for ensuring that the contractor has deployed safety equipment relevant to its area
of operation.

The REDs shall review the hazard identification and risk assessment status of sites in their region
bi-annually or, as soon as is practicable for other reasons which warrant such a review.

Regional Safety Offices shall be responsible to monitor and keep the REDs informed of such need
for reviews, time-bound or, otherwise.

Corporate Safety shall be responsible to ensure that all sites have hazard identification and risk
assessments in place and incident recall is being practiced; this shall be included in the Corporate
Safety function’s annual review.
ELEMENT 2.1 – HAZARD IDENTIFICATION
Hazard identification process at all projects, shall proactively identify all sources (e.g. rotating
machinery; high voltage; high pressure), situations (e.g. working at heights) or acts (e.g. manual
handling), arising from a project's activities that give rise to hazards with a potential for harm, in
terms of human injury or, ill health or, a combination thereof.

Hazard identification should consider different types of hazards including physical, chemical,
biological and psychosocial. Corporate-OS with support of CC-Safety should establish standard
hazard identification tools and techniques that are relevant to the activities of the company and
periodically review the same.

Hazard identification processes shall:

 be applied to activities, both routine (e.g. periodic inspections) and non-routine (e.g. overhauls,
refurbishments), and situations (e.g. extreme weather conditions, emergency scenarios).
 consider all persons having access to the workplace (staff, visitors, service contractors, delivery
personnel) and;
o the hazards and risks arising from their activities;
o the hazards arising from the use of products/services supplied by them;
o their degree of familiarity with the workplace; and,
o their behavior.
 be considered whenever there is a human interface and take into account issues such as ease of
use, potential for operational errors, operator stress and user fatigue, like:
o the nature of the job (workplace layout, operator competence, work load, work in shifts);
o the environment (dust, vibration, heat, lighting, noise, air quality);
o human behavior (temperament, habits, attitude);
o psychological capabilities (cognition, attention);
o physiological capabilities (anthropometries/physical variation of people).
 consider, hazards which occur or originate outside the workplace that can impact individuals
within the workplace (e.g. releases of toxic materials from neighboring plants). And where such
hazards are foreseeable, these should be addressed.

Hazard identification should be conducted by a person(s) with competence and training in hazard
identification methodology and appropriate knowledge of the work activity. Care should be taken
to avoid over reliance on the use of generic checklists. Checklists should be specific to the work area
or process or equipment being evaluated.

ELEMENT 2.2 – SAFETY RISK ASSESSMENT AND MITIGATION

Risk is the combination of the likelihood of an occurrence of a hazardous event or exposure(s) and
the severity of injury or ill health that can be caused by the event or exposure(s). Risk assessment
is a process of evaluating the risk(s) arising from a hazard(s), taking into account the adequacy of
any existing controls, and deciding whether the risk(s) is acceptable. An acceptable risk is a risk
that has been reduced to a level that the site is willing to assume with respect to its legal obligation,
company’s policy and its safety objectives. Corporate-OS, with the support of Corporate-Safety,
shall establish a standard risk assessment procedure that is relevant to the activities of the
company and allows for prioritization and documentation of risks, and the application of controls,
as appropriate, and periodically review the same.
The Site should strive to carry out risk assessments of all activities within its premises, covering
full scope of the company’s responsibility and accountability. To ensure that, Site should assure
the availability of a pool of persons to carry out Risk Assessments, with competence in relevant risk
assessment methodologies and techniques and appropriate knowledge of the work activity.
Training records of such persons shall be maintained. During Construction stage, HOSs shall
identify all high risk activities and ensure risk assessments are submitted by contractors for the
same.

All potential major emergency scenarios, including fire, shall be assessed. While ideally all works
need to be assessed for risks, the works involving hazardous tasks like hot work, work in confined
spaces, work at heights, work involving hazardous chemicals, rigging & lifting, excavations and
demolitions shall always be preceded by risk assessment. Health risk assessments shall include
surveys covering aspects like noise, dust, ventilation, manual handling, occupational driving.

When determining controls, or considering changes to existing controls, consideration shall be

given to reducing the risks according to the following hierarchy: elimination; substitution;
engineering controls; signage/warnings and/or administrative controls & personal protective
equipment.

The results of risk assessments will be used by Sites as an input to establish and prioritize health
and safety objectives, targets, and programs to achieve overall risk-reduction and facilitate
continual improvement in occupational health and safety performance.

It is a requirement that hazard identification and risk assessment be an on-going exercise. The Site
may decide on frequency of such reviews which shall be carried out at least annually, or, as
required. The review will validate whether existing risk controls are effective and adequate; take
into account (applicable) new hazards, changes in systems/process, incorporate feedback from
incident investigation, emergency situations, the results of testing of emergency procedures,
changes in legislation, external factors, e.g., emerging occupational health issues, changes in
workforce, including contractors.

It is not necessary to perform new risk assessments when a review shows that the existing or
planned controls remain valid. Adequacy of Risk Assessments shall be an essential check point for
Internal Audits.

HOPs shall ensure identification of hazards and the analysis, assessment and mitigation of safety
risks. Site Safety function shall provide active guidance on the process. Site Safety Coordinator shall
monitor that the Risk Assessments are reviewed at least annually by the relevant Heads of Sections.
Regional Safety Offices shall monitor the same for their region, and Corporate Safety shall confirm
periodically that Risk Assessments are in place for all sites in the company. At sites, Heads of
Sections and Area Engineers shall be accountable to ensure that workers in their respective
sections/areas are aware about the relevant hazards before they are set-off for work.

Management of Change

The HOP shall be responsible at Site for Management of Change. The Site shall have a system in
place to identify hazards and risks, prior to any introduction of change. This includes changes to
site organization's structure (e.g. use of contractors in place of own engineers), personnel (e.g. job
rotation), management system (e.g. new or revised procedures), processes (e.g. controls
modifications), activities, use of materials (e.g. different types or grades), etc. Such changes should
be evaluated through hazard identification and risk assessment prior to their introduction.
Corporate Operations Services shall be responsible to ensure such process is built-in to the
Management of Change procedure and reviewed periodically.

ELEMENT 2.3 - INCIDENT REPORTING & INVESTIGATION

Safety Incident refers to any work-related event(s) in which an injury or ill health (regardless of
severity) or fatality, occurred or could have occurred. Incident is a broad term and covers accidents,
near-misses and emergencies. Thus, an “accident” is an incident which has given rise to injury, ill-
health or fatality; an incident where no injury, ill health, or fatality occurs is referred to as a “near-
miss”, “near-hit”, “close call” or “dangerous occurrence”; ill-health incidents may arise due to
exposure beyond recommended limits; and an emergency situation is a particular type of incident.

The Objective of this Element is to ensure that all Safety incidents that occur at the projects are
reported and investigated in a timely manner, with an aim to minimize or, eliminate possible
recurrence anywhere else, within the site or, across the company.

The system for reporting incidents/accidents must be standardized across the company. As
employer, NTPC has an obligation to educate/train its employees on legal aspects of their work. The
HOPs shall ensure their respective Location Management Instructions (LMIs)/SOPs include the
types of incidents that are reportable, under the respective State’s statutory requirements and
reporting responsibilities. This ensures that staff are not ignorant of the legal responsibilities. This
shall be included in site induction/training programs and records maintained. Site Safety
Coordinator shall ensure that all legally reportable incidents are done so, with guidance of the
respective HOP. HOPs should facilitate and encourage reporting of incidents.

Site Occupational medical practitioners are responsible for reporting any injuries, including first-
aid cases and occupational diseases to the Site Safety Coordinator. Corporate Occupational medical
practitioners are responsible for monitoring such reports and include trends of such, in periodic
reports of their function. Corporate Safety function shall facilitate incident reporting through a
common centralized system. Site Safety Coordinator shall ensure all incidents are periodically
reviewed for statistical trend analysis, at least once a month. Regional safety offices shall monitor
at Regional level and Corporate Safety function shall ensure all incidents are periodically reviewed
for statistical trend analysis, at a corporate level.

ALL INCIDENTS SHOULD BE INVESTIGATED.

Formal or informal incident investigation results form part of reactive process for safety risk
management. The Objective is to ensure that all Safety and Occupational Health incidents are
recorded and reported in compliance with the Company and legal requirements and to develop a
corporate memory of Safety and Occupational Health incidents to facilitate effective
communication, internally and externally.

Corporate Safety, in association with Corporate-OS, shall ensure that standard procedure(s) shall
be in place for reporting, investigating and analyzing incidents. The purpose of the procedure(s) is
to provide a structured, proportionate and timely approach to identifying and dealing with the
underlying (root) cause(s) of the incident. Recommended maximum time frame within which
identified issues shall be resolved, shall be defined in standard documentation, and to make the
documentation lucid, such time limits should also be depicted in the process flow charts.

Considering the scale and reasonable similarity of NTPC’s operations, which amplifies the risk of a
similar incident repeating, either at the same location or, at another location, no identified safety
issue shall be left open-ended and/or, at the discretion of individuals. Thus, all incidents, including
near-misses and unsafe conditions/acts, shall have defined timelines to close them out. Safety
functions at different levels shall monitor this closely and maintain records.

Monitoring Exception Reports/implementation of recommendations should be part of Monthly

reports. Delays in closing issues within such time frames (including a count of the number of
postponements, apart from actual delay), must be included as Monthly Report to relevant persons,
including Corporate Safety & Director(O). Unacceptable or a defined number of delays may be
considered as deficiency of performance.

Timely completion and distribution of near miss reports can be considered as a positive for the
station/project and may be included as positive performance measure. Similarly, delays in
processing and distributing Near Miss analysis to relevant stations may be considered as suo moto
near-misses themselves against that project and may be considered as a deficiency of performance.

To reinforce staffs’ understanding of the level of importance near-misses are accorded by NTPC,
and to ensure that near-misses get the attention that they need to, Near Miss reports must be
signed-off/closed by Head of Project (HOP).

For incidents that resulted in a LTI (Lost Time Injury), the RED shall be the designated authority to
constitute the accident investigation committees. For an incident that resulted in multiple (more
than five LTIs or single or multiple fatalities) the authority for constituting the Enquiry Committee
shall be a Director-level person. Such intervention from Top Management demonstrates the
sincerity and commitment of the Top Management of the company towards safeguarding lives of
anyone who enters its boundaries and the seriousness with which such incidents are taken by the
Top Management.

For any other incident, the HOP is authorized to decide whether to have a formal or, informal
investigation. In all cases, records should be maintained by Site Safety Coordinator.

The mandate for investigation committee shall include, among others: to determine underlying
safety system deficiencies and other factors that might be causing or, contributing to the
occurrence of the incident; identify: the corrective actions; opportunities for preventive action;
roles/persons accountable for the incident; and, opportunities for continual improvement.

Accident investigation shall take into consideration if learning from similar incidents, having
happened elsewhere at NTPC, was implemented in the project, prior to the fatal accident. If such
learning from previous fatal accidents is not disseminated and implemented, the company would
be forced to endure repeated occurrences of similar accidents.

The investigations shall be performed in a timely manner. The results of incident investigations
shall be documented and maintained. Any identified need for corrective action or opportunities for
preventive action shall be assessed for risks before implementation.

The recommended accident investigation process is depicted in the next page.

For every incident that results in a LTI, Regional Safety Office, must ensure to circulate/make
accessible the recommendations of the accident investigation report. Written compliance report
must be taken from each Head of Project in the Region, that the danger identified in the accident
investigation report either, does not exist in his project or preventive action has been completed to
ensure that similar accident does not repeat in his project. Such compliances for
corrective/preventive actions must be tracked & maintained at Regional Safety Office.

For every accident that results in a fatality, Corporate Safety Dept., must circulate/make accessible,
the recommendations of the accident investigation report. Written compliance report must be
taken from each Head of Project, that the danger identified in the accident investigation report
either, does not exist in his project or preventive action has been completed to ensure that similar
accident does not repeat in his project. Such compliances for corrective/preventive actions must
be tracked & maintained by the Corporate Safety function.

In some cases, when the formal incident investigation process may take time to complete, the HOP
shall be responsible to ensure immediate action is taken, to control and deal with imminent risks
and danger.

Those assigned to conduct incident investigations should be competent and trained periodically.
All projects shall have a pool of such trained persons and the list shall be updated by the Site Safety
Coordinator and be available at Regional and Corporate Safety functions.

ELEMENT 2.4 - INCIDENT RECALL

The Objective of the process of Incident Recall is to establish and maintain, a continual safety
awareness of the potential hazards in the company, by conducting periodic review of all types of
past incidents, so as to trace back conditions and experiences, to positively influence future
behavior and actions.

Incident Recall is a technique used to gain information on past incidents, including near-miss
incidents, and to review their possible causes to enable a process of an interactive lesson sharing to
take place. This technique can be used to recall previous work related incidents already
investigated and analyzed, with an objective to improve job plans/task procedures/safety
precautions that were deployed, but were not effective enough.

Incident Recall should be used to generate improved risk mitigation measures and reinforce
learning outcomes so as to preclude a recurrence of similar incidents. This requires that each
incident be evaluated to determine its potential to cause a major loss and its probability of
recurrence. The primary purpose is to get as many high potential incidents recalled as possible.

Process:

The Incident Recall sessions should be carried out by Heads of Sections, assisted by the Site Safety
Coordinator as needed, recalling the causes and corrective and preventative action taken.

Previous incidents like Near-Misses, injuries, occupational disease, property damage should be
translated into case studies for discussion with relevant employees. Such incident recall case
studies should contain the facts, causes of the accident and recommended actions to prevent
recurrence.
Incident Recall process for unreported incidents should be carried out periodically by Heads of
Departments/Sections or, Area Engineers responsible for works. This is normally expected in the
form of individual interviews with workers. A specific time should be allocated to the interview
and should be adhered to. The selection of workers should be on a random sample basis. The
emphasis of the interview(s) should be on fact-finding, not fault-finding. A critical part of this
informal incident recall process is to always discuss the workers’ ideas and suggestions, to prevent
incidents. Understanding gleaned from such interviews should be reviewed at the end with the
worker, to ensure mutual understanding.

Output of the Incident Recall exercise would lead to generation of concise case studies and in some
cases, physical evidence in the form of damaged tools.

All case studies generated and gathered from the Incident Recall process should be properly
recorded and categorized and should be available for reference by all employees in a central
repository. Incident Recall sessions should be conducted periodically and all employees should
participate in at least one Incident Recall session each year.

Incident Recall learnings should also be displayed in a physical form of a museum (e.g., as a part of
Safety Park) with samples of unsafe tools, damaged plant and equipment, photographs of unsafe
conditions, etc., and used to facilitate the recall of the past incidents as “what can happen”, in the
Site Induction process by the Site Safety Coordinator.

Incident Recall learning should be included in Tool Box Talks and longer training programs, as
appropriate.

Regional Safety Offices should periodically apply the incident recall techniques on incidents that
took place in their respective region and examine them to detect patterns. The results of such
studies should be circulated to all sites periodically as case studies. Safety meetings should always
include selected case studies from the Incident Recall process.
 PERFORMANCE MEASURES - COMPONENT 2

Process Monitoring
# Element Process Title Input Output Process Measures / KPIs
Owner Accountability
2.1 Safety Risk Hazard Id & Risk Assessment
01 Corp OS Safety Framework Consistent HIRA across company Standard Procedure for HIRA Corporate-OS
Management (HIRA) system
2.1 Safety Risk HIRA studies at Corporate
02 CC-Safety Safety Framework Safer workplace, Reduced incidents % HIRA study completed for all sites CC-Safety
Management Level
2.1 Safety Risk Region Safety
03 HIRA studies at Region Level RED Safety Framework Safer workplace, Reduced incidents % HIRA study completed for sites in the Region
Management Coordinator
2.1 Safety Risk
04 HIRA studies at Site level HOP Safety Framework Safer workplace, Reduced incidents Completion of HIRA study for Project Site Safety Coordinator
Management
No. of HIRA Training programs conducted
2.1 Safety Risk
05 Risk Assessors HOP Safety Framework Pool of competent HIRA assessors Site Safety Coordinator
Management
No. of risk assessors available
2.1 Safety Risk Worker Awareness of relevant
06 HOS Safety Framework Safer workplace, Reduced incidents No. of Training programs/Tool Box Talks Site Safety Coordinator
Management Hazards
2.2 Risk Management of Change
07 Corporate-OS Safety Framework Management of Change procedure HIRA study included Change Approval process Corporate-OS
Assessment system
2.2 Risk Management of Change
08 HOP Proposal for Change Changed process/procedure HIRA study included Change Approval process Site Safety Coordinator
Assessment Compliance
2.3 Incident Awareness of Reporting Safety Framework & Legal Improved awareness of legal obligations % employees covered in Awareness Training
09 HOP Site Safety Coordinator
Reporting requirements requirements to report to report Program on Incident Reporting
2.3 Incident
10 Incident Reporting system CC-Safety Safety Framework System for reporting System availability & awareness among staff CC-Safety
Reporting
2.3 Incident Promotion programs for Incident
11 Incident reporting promotion HOP Safety Framework At least one such promotional program Site Safety Coordinator
Reporting reporting
2.3 Incident Incident Investigation Standard Document for incident
12 CC-Safety Safety Framework Availability of standard procedure Corporate-OS
Investigation standard process investigation
2.3 Incident Trained Incident Investigators
13 HOP Safety Framework Pool of Trained Incident Investigators No. of trained Incident Investigators in the project Site Safety Coordinator
Investigation At Site
2.3 Incident Trained Incident Investigators Region Safety
14 RED Safety Framework Pool of Trained Incident Investigators No. of trained Incident Investigators in the region
Investigation In the Region Coordinator
2.3 Incident Trained Incident Investigators % of trained Incident Investigators at site against
15 CC-Safety Safety Framework Pool of Trained Incident Investigators CC-Safety
Investigation In the company requirement
2.3 Incident Incident Investigation
16 Circulation of Reports - Site HOP Improved safety awareness among staff % of Incident Reports circulated Site Safety Coordinator
Investigation Reports
2.3 Incident Incident Investigation Region Safety
17 Circulation of Reports - Region RED Improved safety awareness among staff % of Incident Reports circulated
Investigation Reports Coordinator
2.3 Incident Circulation of Reports - Incident Investigation
18 CC-Safety Improved safety awareness among staff % of Incident Reports circulated CC-Safety
Investigation company Reports
HOP’s Written Confirmation of
2.3 Incident Incident Investigation Improved safety awareness among staff & % written confirmation taken against Incident Region Safety
19 Corrective / Preventive Actions RED
Investigation Reports safer workplace Reports circulated Coordinator
taken
2.4 Incident Recall at Company
20 CC-Safety Incident data & reports Case studies, Patterns Case studies, Guidance to Sites on similar incidents CC-Safety
Incident Recall Level
2.4 Regional Case studies, Guidance to Sites on similar Region Safety
21 Incident Recall at Region Level RED Incident data & reports Case studies, Patterns
Incident Recall incidents Coordinator
2.4 Safety Meeting Minutes, Case studies, Tool box
22 Incident Recall at Site Level HOP Incident data & reports Case studies, Patterns Site Safety Coordinator
Incident Recall talks
 Component 3. Safety Assurance

The Objective is to ensure that all business units comply with safety policy, rules, procedures,
legal requirements in achieving safety targets and objectives, ensure continual improvement
and effectiveness of implementation of the corporate framework; through regular inspections,
audits, interactions and reviews, typically by personnel who don’t report to the business head,
in order to provide assurance that risk responses are being implemented, procedures are
followed, and appropriate controls are in place. Safety Assurance also includes Contractors and
Contract Control to ensure Safety Policy objectives are achieved effectively.

ELEMENT 3.1 – LEGAL, STATUTORY & OTHER COMPLIANCES

NTPC has made a policy commitment to comply with applicable legal and other safety and
occupational health requirements that relate to its activities. This Element provides guidance
on achieving and maintaining compliance to all legal, regulatory or other voluntary
requirements NTPC as a company or, the Project may need to or want to subscribe to.

Such legal and other requirements can take many forms, such as: legislation, regulations, codes
of practice, directives, consents, permits, licenses or other forms of authorization, judgements
of courts or administrative tribunals, treaties, conventions or, protocols. Also, depending on
specific circumstances and needs, there may be other than legal requirements, that may include
commitments or, agreements regarding occupational health & safety, such as contractual
conditions, agreements with interested parties, agreements with health authorities, non-
regulatory guidelines, best practices, public commitments of the project or the company, and
corporate/project requirements.

Consistent with the policy commitment to comply with all legal, regulatory or other
requirements, Corporate, Regional and Site Safety functions shall ensure in place, a structured
approach to ensure that the legal and other requirements are identified, evaluated for
applicability to NTPC’s activities, be accessed, communicated and be kept up to date.

All employees shall be made aware of legal requirements for their roles and the consequences of
non-compliance.

Periodic reviews and audit should be conducted to identify legal non-compliance. Such periodic
evaluations can be combined with evaluation of other procedures or, systems. Such findings of
periodic audits shall be included in the review by HOP at Sites. At the corporate level, Corporate
safety shall keep the Top Management appraised of any such non-compliances, periodically.

ELEMENT 3.2 – SAFETY PERFORMANCE MONITORING & MEASUREMENT

The Objective of this element is to verify that the standards and minimum requirements as
stated in this safety framework are implemented and followed by all business units; ensure that
the defined requirements are measured to assess their effectiveness; and a systematic feedback
mechanism is in place for periodic review of this safety framework and thus to enhance its
effectiveness.

Towards achievement of this objective, the company shall establish, implement and maintain a
procedure(s) to monitor and measure Occupational Health & Safety performance on a regular
basis to monitor the extent to which the safety & health objectives are met and the effectiveness
of risk controls. Such monitoring measures can be Proactive (qualitative and quantitative) and
Reactive.

The measuring and monitoring should primarily focus on proactive measures to effect safety
and occupational health performance improvement and injury reduction, but may also need to
use reactive measures.

Proactive monitoring includes: qualitative and quantitative measures. Qualitative monitoring

can be in the form of compliance checks with legal and regulatory safety & health requirements,
workplace safety inspections, evaluation of the effectiveness of safety & health training
through planned job observations/hazardous task observations, use of behavior based
observation, use of perception surveys to evaluate safety culture, the effective use of the results
of internal and external audits, completion of legally required and other inspections as
scheduled, work activity assessments, internal & external audits.

Quantitative measures include using equipment to monitor/measure health and safety

conditions (e.g. noise meters, toxic gas detection equipment). Such equipment should be
maintained and calibration traceable to applicable international or national standards.

Reactive measures include: monitoring of ill health, occurrences and rates of incidents/ill
health, lost time incident/ill health rates, actions required following assessments by regulatory
agencies, actions following receipt of comments or complaints from interested parties.

Recording of data and results of monitoring and measurement, sufficient to facilitate

subsequent corrective action and preventive action analysis shall be done.

Monitoring the performance of the Safety Framework is to be carried out in two modes:
continuous and periodic.

PROCESS 3.2.1 CONTINUOUS MONITORING

The organization will continuously monitor operational data, reports, including services
received from contractors, to identify hazards, measure the effectiveness of safety risk controls,
and assess system performance. Data generated from such continuous monitoring shall be
captured in a centralized system to facilitate reports and analysis. Site Safety Coordinator is the
nodal agency for ensuring data is captured in the centralized system.

PERIODIC MONITORING
As a part of periodic monitoring, safety assessments should be carried out at pre-determined
frequencies, to establish the degree to which the expectations in the Safety Framework are met
by the project. The frequency and scope of assessments reflect the complexity of the operation,
level of risk and, performance history. Some assessments should be conducted by multi-
disciplinary teams including, where required, expertise from outside the project. A system
should be in place to ensure resolution of findings from assessments. The effectiveness of the
assessment process shall be reviewed periodically and findings used to make improvements.
Records of such reviews shall be maintained in a central repository.
Such Safety Assessments may be divided in to three classes depending on who is carrying out
the assessment.
• Safety Reviews by Functions;
• Internal Assessment by cross-functional team of the project;
• Internal Audits by team from outside the project but, within the company;
• External audits by third party.

The amount of documentation to be reviewed or, the detail of the planning or, reporting should
reflect the scope and complexity of the assessment.

Corporate-OS with support of Corporate Safety function, shall arrange to have in place a
common procedure to provide guidance on different safety & occupational health monitoring
assessments including criteria, responsibilities, scope, frequency, method, assessor selection
and, the requirements for evaluation and reporting of the findings.

PERIODIC ASSESSMENTS INTERNAL TO THE PROJECT:

The project should plan for assessment/audits internal to the project, taking into account safety
criticality of the processes to be audited, and results of previous audits. These safety and health
assessments can be in the form of safety reviews, evaluations and audits. The requirement for
project internal reviews/assessments should be circulated by the Site Safety Coordinator at the
beginning of the financial year to all functions and report on the progress of the same shall be
included in periodic reports. The indicative list of site inspections is listed below:

• Plant identification. • Environment - spill kits, bunds.

• Pressure vessels. • Buildings & Structures.
• Electrical bonding. • Canteens.
• Lifting tools & tackles. • Toilets/washrooms.
• PPE. • Pest control – esp. mosquitos in
• Hand Tools incl., tool boxes. endemic areas.
• Mobile cranes. • Calibration of tools & measuring
• Fixed & Portable ladders. equipment.
• Welding/Gas cutting sets. • Demarcation lines for access.
• Portable electrical tools/equipment. • Waste dump areas – labelling.
• ELCB/RCCB – protection devices for • Color coding.
portable/fixed distribution boards. • Machine guards – incl. conveyers.
• Earth pits. • Dumper/dozer checks.
• Notices & signage – fire exits, warning • Fire protection systems: fixed &
signs. portable .
• First Aid Boxes.

PROCESS 3.2.2 SAFETY REVIEWS BY FUNCTIONS

Each function shall perform regularly scheduled internal reviews of its processes, like weekly
departmental permit-to-work system audits, including those performed by contractors, to
verify conformity with safety risk controls, assess the safety performance and, evaluate the
effectiveness of safety risk controls. Findings of all such functional safety reviews shall be
captured in a central system for retrieval, follow-up and closure. HOS shall be accountable to
ensure all findings are closed in a timely manner.

PROCESS 3.2.3 SAFETY ASSESSMENT BY CROSS-FUNCTIONAL TEAM OF THE PROJECT

HOP shall ensure that periodic assessments are conducted by cross-functional audit teams. Site
Safety Coordinator shall be the focal point for scheduling such cross-functional team audits and
correlating results with the results of previous audits and/or reports from functions, other
projects or other companies.

Cross-Functional safety assessments can include quantitative monitoring measures to

monitor/measure health and safety conditions (e.g. noise meters, toxic gas detectors).

Internal assessments shall review the project’s processes, like monthly audit of permit to work
system, weekly housekeeping checks, etc., including those performed by contractors, to verify
conformity with safety risk controls, assess the safety performance and evaluate the
effectiveness of safety risk controls.

Findings of all such cross-functional teams’ assessments shall be captured in a central system
for retrieval, follow-up and closure. Site Safety Coordinator shall be responsible to follow-up on
the same, including the list of findings in site safety meetings and monitor to ensure all findings
are closed in a timely manner.

PROCESS 3.2.4 INTERNAL AUDITS

By team(s) from outside the project but, within the company,

Internal Audits serve as a vital tool to the Company to review and evaluate the implementation,
maintenance, performance and effectiveness of the Safety Framework. Corporate-OS shall
ensure a documented process is in place for internal audit process. Corporate Safety function
shall establish an annual internal audit program to review the conformity of the projects to the
company’s safety framework. The schedule of the internal audits should be communicated to
all sites at the beginning of the financial year.

The audit program should be based on the results of risk assessments of the organization's
activities and the results of previous audits. Additional audits may need to be performed if the
results of previous audits, the occurrence of incidents, or other circumstances indicate that they
are necessary. Persons selected to conduct the internal safety framework audits should be
competent and be selected in a manner to ensure objectivity and impartiality of the audit
process.

The results of such internal system audits should be recorded and reported to management, in
a timely manner; and, to all relevant parties as soon as practicable, to allow corrective actions to
be taken. Findings of all internal audits shall also be captured in a central system for retrieval,
follow-up and closure. Site Safety Coordinator shall be responsible to follow-up on the same,
including the list of findings in site safety meetings and monitor to ensure all findings are closed
in a timely manner. Regional Safety Offices shall monitor audit findings and are responsible to
ensure that identified non-conformities are addressed and report periodically to the Corporate
safety function.
PROCESS 3.2.5 EXTERNAL AUDITS - ASSESSMENTS EXTERNAL TO THE COMPANY
System shall be in place to ensure that external safety audits are carried out, as required by
legislation, statutes or, regulations. Results of such external audits shall be included by the
project, regional safety office and the corporate safety function, when analyzing data.

Findings of all such external audits shall be captured in a central system for retrieval, follow-up
and closure. Site Safety Coordinator shall be responsible to follow-up on the same, including the
list of findings in site safety meetings and monitor to ensure all findings are closed in a timely
manner.

PROCESS 3.2.6 REACTIVE MEASURES

Site Safety Coordinator shall be nodal agency to monitor occurrences and rates of incidents/ill
health, lost time incident/ill health rates, status of actions required following assessments by
internal auditors, external auditors, regulatory agencies, follow-up for actions following receipt
of incident reports, comments or complaints from interested parties.

PROCESS 3.2.7 ANALYSIS OF DATA

The project will analyze the data acquired through monitoring and measurement to assess the
performance and effectiveness of risk controls in the project’s processes and the safety
framework, to identify root causes of non-conformances and potential new hazards, and
evaluate where improvements can be made to the organizations processes, and safety
framework.

Statistical data compiled and analyzed includes: actual man-hours worked, number of unsafe
conditions, numbers of unsafe acts, number of near-misses, number of fatalities, number of
reportable incidents, number of occupational illness and diseases, number of high-consequence
injuries (LTI of more than six months), non-work related injuries, disabling injury incident rate
(DIIR), Disabling injury frequency rate (DIFR), number of days lost for each incident case,
injured part of body for each injury case, partial permanent disability (% loss in hearing
capability), compensation pay out, damage loss, incident causes/types.

ELEMENT 3.3 – MITIGATING HEALTH RISKS: SANITATION, PERSONAL HYGIENE AMENITIES

Objective is to provide adequate personal hygiene facilities at the workplace for use by
employees, contractors and visitors; to ensure that health risks are identified and managed; to
ensure that all premises, facilities and the work environment are maintained to a high standard
of cleanliness and hygiene.

PROCESS 3.3.1 PROVISION OF ADEQUATE FACILITIES

All offices and sites shall be provided with adequate toilets, wash basins, lockers, changing
rooms, etc., ensuring privacy for different genders. Adequate drinking water, kitchen, canteen
and storage facilities should be provided, where appropriate. All such provided personal
hygiene facilities shall meet applicable legal requirements.

Where food is prepared at site, health risks pertaining to food processing should be assessed
(risks to both food handlers and consumers should be included in the assessment.).
Hazardous chemicals used for cleaning shall be properly stored to prevent unauthorized access.

PROCESS 3.3.2 CLEANLINESS AND HYGIENE CONDITION OF THE FACILITIES

All personal hygienic facilities including tiles, floors, walls, fixtures and fittings shall be
maintained in clean and hygienic condition. Adequate supplies of consumables shall be
ensured. Dining rooms, food preparation and storage areas should be kept clean, tidy and,
vermin free.

Food should only be allowed in designated area(s), away from the industrial work process.

Periodic deep-cleaning programs should be put in place for all personal hygiene facilities.

Regular inspections using standardized checklists should be conducted by Safety Stewards, at

all the hygiene facilities and services at least once a month. Deviations or damages should be
reported to responsible officer and ensured that prompt actions are effected.

Appropriate training should be provided to the Safety Stewards on, how to carry out the
inspection, effectively. Site Induction & Job training should include and address personal
hygiene factors.

PROCESS 3.3.3 PERIODIC HEALTH SURVEYS

Indicative list of site health surveys expected to be in place, is listed below:

• Confined spaces.
• Illumination/Lighting survey.
• Noise.
• Ventilation.
• Hazardous Zones survey/identification (Zone 0, 1 or 2).
• Dust.
• Ergonomics.
• Heat – outside work in summers, any fatalities in the field due to sun stroke/cardiac arrest.

ELEMENT 3.4 – THE MANAGEMENT OF CHANGE

The Objective is to ensure that changes in operations, procedures, site standards, facilities or
personnel, are evaluated and managed to ensure that safety and occupational health risks
arising from these changes remain at an acceptable level. A system shall be in place for the
management of both temporary and permanent changes.

Corporate Operations Services shall be responsible to ensure such procedure for assessing safety
and occupational risks is built-in to the Management of Change procedure and is reviewed
periodically.

The procedure should address/define: documentation, including reason for change; authority
for approval of changes; provide for compulsory assessment of safety and occupational health
implications; need for compliance with regulations and approved standards; acquisition of
needed consents/permits; communication of potential consequences and required
compensating measures; identification of training gaps, if any.
The HOP shall be responsible at site for Management of Change both temporary and permanent.
The Site shall have a system in place to identify safety and occupational health related hazards
and risks, prior to any introduction of Change. This includes changes to site organization's
structure (e.g. use of contractors in place of own engineers), personnel (e.g. job rotation),
management system (e.g. new or revised procedures), processes (e.g. controls modifications),
activities, use of materials (e.g. different types or grades), etc. Evaluation of such changes shall
be managed by the Site Safety Coordinator through hazard identification and risk assessment
prior to their introduction. The system shall ensure that temporary changes do not exceed
initial authorization, for scope or time without review and approval.

ELEMENT 3.5 – CONTINUAL IMPROVEMENT

The Objective is to ensure that a system is in place to assure continual improvement. Continual
improvement is a recurring process of enhancing the company’s, region’s and individual
project’s safety and occupational health system processes, in order to achieve improvements in
overall safety performance, consistent with the company’s Policy. All those with management
responsibility (HOP’s and REDs) shall demonstrate their commitment to the continual
improvement of Safety & Occupational Health performance.

Corporate, Regional and Project Safety functions facilitate continual improvement programs by
providing data and identifying possible areas for continual improvement programs. Such
continual improvement process need not take place in all areas of activities across the company,
region or site, simultaneously.

Continual improvement shall be in the form of objectives, targets and program(s).

PROCESS 3.5.1 INCIDENT INVESTIGATIONS & RESULTS OF AUDITS

A good system for incident investigation offers the organization one of the best prospects for
identifying opportunities for improvement and to raise the overall safety & health awareness
in the workplace. Incident Investigation Reports, including Assessments, provide great
opportunities for initiating corrective and preventive actions. There are four basic classes of
information obtainable by means of incident investigations and audits:

• Information identifying where the accidents occur - that is, areas, trades, work processes,
etc. This knowledge is to be used to determine where preventive action is needed.
• Information showing how the accidents occur, the situations in which they occur and the
ways in which the injuries come about. This knowledge is to be used to determine the type
of preventive action needed.
• Information relating to nature and seriousness of the injuries, describing, for example, the
parts of the body affected and the health consequences of the injuries. This knowledge is to
be used for prioritizing preventive action in order to ensure that action is taken where the
risk is highest.
• Information on where the gaps in safety framework implementation lie, for e.g., audit findings
not closed, missed audits. This knowledge is to be used to determine the type of corrective
action needed to improve the safety framework implementation.
Site Safety Coordinator shall be responsible for collating and analyzing incidents & incident
investigation reports and audit findings to glean such information so as to generate learnings
to improve the processes. Regional Safety Office shall be responsible to disseminate the data in
the region and corporate safety for disseminating such learnings across all projects to ensure
recurrence of similar lapses is avoided.

PROCESS 3.5.2 EMPLOYEE REPORTING AND FEEDBACK SYSTEM

A vibrant reporting culture is essential for developing a positive safety culture. Employees at all
levels must be encouraged to report mistakes, near-misses, unsafe conditions, wrong
procedures, other safety concerns and to submit solutions/safety improvements where
possible. To improve the effectiveness of reporting culture, HOPs shall ensure a Just culture in
the projects which acknowledges that human beings tend to make mistakes; however, there is
also a boundary that some actions are unacceptable and will be liable to face penal action. The
HOPs should encourage employees to speak about safety issues related to their own actions and
those of others. HOPs shall ensure that employees are accountable for their at-risk behavior and
actions, but will not be blamed for system faults in their work environment beyond their
control. Exemplary penal action should be reserved for at-risk behavior involving gross
negligence, defiance, recklessness or malice.

Facility for reporting anonymously also should be provided to employees. The company will
establish and maintain an employee safety reporting and feedback system. Data from the safety
reporting and feedback system will be monitored by Corporate Safety function to identify
emerging hazards and will be included in analyses to improve the safety & occupational health
processes.

PROCESS 3.5.3 DIGITAL INITIATIVES

The Objective is to utilize advances in technology and increased availability of digital means for
improving health and safety. Such areas for possible digital initiatives include work execution
methodologies, data capture, reporting, centralized systems, local and remote data access,
business analytics, business intelligence, performance monitoring and compliance monitoring.

ELEMENT 3.6 - CONTRACTORS & CONTRACT CONTROL

Contractors doing work on the company's behalf impact on its operations and its reputation. It
is essential that they perform in a manner that is consistent and compatible with the company's
policies and objectives. The Objective of this element is to ensure that safety risks associated
with contractors and contracts are managed.

PROCESS 3.6.1 BEFORE PLACING THE CONTRACT

Corporate Contracts function shall establish guidelines, procedures and general conditions of
contracts pertaining to management of contractors consistent with the company’s policy,
procedures and rules. Contractors' past health & safety performance should be taken into
account in selection processes including pre-qualification and tender assessment, etc. The
Company’s safety & health standards as well as specific requirements of the project shall be
communicated to all contractors before the tendering process. All legal, statutory and company
policy related compliance requirements should be clearly specified in contract documents,
accepted and verified. Specifications should include that the Contractor shall employ safety
officer(s) and/or safety steward(s) as required by law or as specified by the company contract
conditions, whichever is higher. Contract conditions should specify that all contractors’ work
sites shall be accessible to the company’s representatives for periodic health & safety
inspections to verify the compliance with the agreed standards and correction of deviation
identified. Only contractors who can demonstrate means and competence to comply with
requirements should be selected. Depending on nature and size of the contract, penal clauses for
shortcomings in safety & health performance, including incidents, should be included.
Contractors should be required to carry adequate insurance cover against potential health &
safety liabilities and, to indemnify the company from all the liabilities that may arise out of any
failure to comply with the above-mentioned Acts/Rules or any contravention thereof, by the
contractor or any other agency on its behalf. The procedure for managing contracts should
ensure that no contract can be closed until the feedback on health & safety performance is
captured in the contract closing documentation.

Outsourced Works’ Risk assessments should include hazards of the roles and the list of physical
requirements of the persons carrying out the role, like age, height, gender, medical conditions
(like night-/color-blindness), etc., to prevent medical injuries or safety incidents. Contract
conditions shall include such physical requirements of roles where applicable, based on advise
of the Corporate Safety function.

PROCESS 3.6.2 AFTER PLACING THE CONTRACT

HOPs shall ensure that all health & safety risk liabilities associated with contracts and
outsourced activities shall be identified, assessed, and managed. HOPs shall ensure close
monitoring of critical aspects of contracts/outsourced activities are in place at the project that
can impact the projects health & safety, and other performance measures. Towards the
achievement of the same, the HOP shall ensure that every contract should have single-point
designated liaison person or, Engineer In-Charge (EIC) within the project, to avoid potential
communication gaps. The EIC need not be Head of a Function/Department/Section.

The Area Engineer must: be thorough with the contract conditions; what the work involves;
who is undertaking the work; where on site the work is taking place and when; who is on site
supervising the work on behalf of the contractor; how to contact the contractor’s site
supervisor; be aware of any foreseeable hazards connected with the work; inform the
appropriate company staff (e.g. Security, Operations Shift In-Charge) if contractors are working
out of hours; ensure that contractor site supervisors know who to contact in NTPC at all times.

HOP shall ensure arrangements that allow contractor staff inside the project only after formal
induction training. Site Safety Coordinator shall ensure that such formal induction training
covers all relevant health & safety areas related to the scope of the contract. All contractors’
employees shall be trained on the meaning of the safety and occupational health related
symbols and signs during induction and after a long period of absence, in order to eliminate any
potential misunderstanding. All contractors’ employees should be briefed on emergency alarms
and how to activate and respond to them. Before setting them to work, Area Engineer and the
respective HOS shall ensure that relevant contractor employees are trained in safe work
procedures and how they are implemented; and that relevant contractors’ employees are
trained to familiarize them with the lock-out procedures.

Site Safety Coordinator shall ensure that contractor safety supervisors are competent to
perform the statutory duties, as stipulated in the legislation and/or the contract conditions,
whichever is stricter.

When the project is in construction stage or when specified in other construction works, direct
supervision of contractors' employees is the responsibility of the contractor. The HOP should
ensure that NTPC staff do not provide direct supervision to contractors' staff but must exercise
sufficient levels of managerial regulation. This may sometimes involve a presence at the point
of work but will normally be directed towards ensuring that the contractor is providing the
necessary levels of supervision for his employees to take account of the foreseeable hazards or
risks associated with the work activity, details of which should be included within the job plan
or, method statement. HOS/Area Engineer shall ensure respective Contractors submit job-
specific Method Statements where hazards warrant them.

The HOS must: decide what constitutes adequate monitoring, based upon knowledge of the
work; take steps along with the Area Engineer to ensure that contractors work as specified in the
job plan/construction plan.

Site Safety Coordinator along with the Area Engineer shall ensure that a system is in place for
ensuring communications with contractors, where appropriate on changes that can affect their
health & safety taking account: changes in materials, equipment, controls, exposures; changes
in emergency arrangements; or changes in legal or other requirements.

The respective HOS shall ensure that all contractors and their worksites shall be subjected to
scheduled health & safety assessments including behavioral aspects. The responsible Area
Engineer or HOS, and when required, along with Site Safety Coordinator should conduct such
monitoring assessments. Details of such inspections shall be captured in the centralized system
and included in periodic reports by the Site Safety Coordinator.

The Area Engineer and respective HOS shall ensure that conditions, rules, procedures and
guidelines applicable for the contractor shall be followed. Confirmation of the same shall be part
of the functions periodic reports. HOSs shall ensure that cognizant unsafe acts especially gross
negligent behavior results in exemplary penal action. Suggestions, verbal or, in writing, to be
actively solicited from contractors to improve the safety and health performance of the project.
 PERFORMANCE MEASURES - COMPONENT 3

Process Monitoring
# Element Process Title Input Output Process Measures / KPIs
Owner Accountability
Company-wide Legal compliance Periodic Reports
3.1
01 Legal compliance at Corporate Level CC-Safety Safety Framework CC-Safety
Legal Compliance
Reduced litigation % audits’ Non-Conformities closed
Region-wide Legal compliance Periodic Reports
3.1 Region Safety
02 Legal compliance at Region Level RED Safety Framework
Legal Compliance Coordinator
Reduced litigation % audits’ Non-Conformities closed
Site level
Periodic Reports
3.1 Legal compliance Site Safety
03 Legal compliance at Site level HOP Safety Framework
Legal Compliance Coordinator
% statutory audits’ Non-Conformities closed
Reduced litigation
3.1 Employee Awareness of legal Improved awareness in employees Site Safety
04 HOP Safety Framework % staff trained on awareness Legal compliance
Legal Compliance requirement of legal requirements Coordinator
3.2.4 & 3.2.5 Annual schedule % audits completed in time - overall
Corporate level - Periodic Monitoring
05 Safety Performance CC-Safety Safety Framework CC-Safety
system
Monitoring for internal & external safety audits % audit findings closed
3.2.4 & 3.2.5 Annual schedule % audits completed in time - region
Region level - Periodic Monitoring Region Safety
06 Safety Performance RED Safety Framework
system Coordinator
Monitoring for internal & external safety audits % audit findings closed
Annual schedule
3.2.4 & 3.2.5 % external audits completed in time - site
Project Periodic Monitoring system – Site Safety
07 Safety Performance HOP Safety Framework
External Audits for external Coordinator
Monitoring % external audit findings closed
safety audits
Annual schedule
3.2 % internal audits completed in time
Project Periodic Monitoring system – Site Safety
08 Safety Performance HOP Safety Framework
Internal Audits for internal Coordinator
Monitoring % internal audit findings closed
safety audits
3.2 % dept. assessments completed in time
Schedule for Functions Annual schedule for functional Site Safety
09 Safety Performance Safety Reviews by Functions HOD/HOS
Safety Reviews safety reviews Coordinator
Monitoring % dept. findings closed
3.2 Annual Schedule for Site Safer workplace % CFT Reviews completed in time
Safety assessments by Cross Site Safety
10 Safety Performance HOP Cross- functional Safety
Functional Teams Coordinator
Monitoring assessments Compliance % Closing of findings
3.2
Periodic safety assessments in the % trained Internal Auditors company-wide vs
11 Safety Performance CC-Safety Safety Framework Pool of Trained Internal auditors CC-Safety
company requirement
Monitoring
3.2 % trained Internal Auditors at site vs requirement
Pool of Trained Internal auditors / Site Safety
12 Safety Performance Periodic safety assessments in the site HOP Safety Framework
assessors Coordinator
Monitoring % trained staff on safety assessments in each function
Implementation quality of safety
Number of incidents, accidents
& health system standards
13 3.2.6 Reactive Measures Monitoring safety & health incidents CC-Safety Safety Framework CC-Safety
%incidents communicated to all sites
Prevent similar incident recurrence
 Process Monitoring
# Element Process Title Input Output Process Measures / KPIs
Owner Accountability
3.2.6 Reactive Site Safety Data and information on % incidents communicated in the sites to staff &
14 Monitoring safety & health incidents Improved awareness at site of risks Site Safety Coordinator
Measures Coordinator incidents from central system workmen
Trends in incidents
Trends of non-conformances
3.2.7 Analysis of Data from sites & regions in
15 Analysis of data & reporting CC-Safety % repeat incidents CC-Safety
data central system
Ranked Areas for improvement
Training focus areas for improvements
Legal requirements
3.3 Mitigating Provision of personal hygiene & Adequate personal hygiene
16 HOP % facilities available against legal requirements Site Safety Coordinator
health risks sanitation facilities & sanitation facilities at site
Health related advisories
% inspection schedules completed
Inspection schedule for hygiene
3.3 Mitigating Maintenance of personal hygiene & Well maintained hygienic
17 HOP No. of non-conformities in site safety assessments Site Safety Coordinator
health risks sanitation facilities facilities
& sanitation facilities at site
No. of complaints on hygiene facilities
3.4 Management Managing temporary changes to Head
18 Change requests Control of risks of changes to system % simulations closed HOD/HOS-Operations
of Change systems (O&M)
3.5 % reports circulated or available on central system
Learnings from Incidents – Corporate
19 Continual CC-Safety Incidents investigation reports Reduced recurrence of similar incidents CC-Safety
level
Improvement % recurring incidents in total incidents
3.5 % reports circulated or available on central system
Incidents investigation reports
20 Continual Learnings from Incidents – Project level HOP Reduced recurrence of similar incidents Site Safety Coordinator
from CC-Safety & within Site
Improvement %recurring incidents in total incidents
3.5
Employee Reporting And Feedback
21 Continual CC-Safety Safety Framework Employee Feedback No. of feedbacks rec’d Site Safety Coordinator
System
Improvement
Employee Feedback
3.5
22 Continual Continual improvement - Objectives HOP Incidents Objectives, targets & programs % objectives / targets achieved Site Safety Coordinator
Improvement
Legal/ Other requirement
CC&M /
3.6 General Conditions of Contract with CC&M / Shared
23 Pre-placement of contract system Shared Safety Framework, polices Procedure
Contracts control health & safety clauses Services
Services
3.6 Post-placement of contract – risk Site-Contracts & Area
24 HOP Contract documents Management of contracts risks Matrix of contract related risks & controls
Contracts control management Engineer
Contract documents Site induction
Site induction process
3.6 HOS / Area
25 Post-placement of contract Area Engineer
Contracts control Engineer Hazards/risks associated with Relevant work related training program
Training records
contracted work for Contractor staff
Awareness of contracts risks % completed site safety & health assessments of
3.6 Post-placement of contract – HOS / Area contractors
26 Contract documents Site Safety Coordinator
Contracts control Contractor safety perf assessment Engineer Schedule for safety assessments for
contractors Contractor related incidents
 Component 4. Safety Promotion

The Objective is to promote Safety as a core value with practices that facilitate and support a
sound safety culture. Elements of such promotion include communication, training &
promotional activities.

ELEMENT 4.1 – COMPETENCIES & TRAINING

The Objective is to ensure that various levels of employees and the contracted workforce are
adequately trained in Safety rules, policy and techniques thus enabling them to be competent
and motivated to positively influence the safety & occupational health process in the company.

PROCESS 4.1.1 COMPETENCE

Each project should have in place documented safety & health competency requirements for
those roles, that can impact its safety & health performance. For outsourced services, where
applicable, the contract documents should specify such safety & health competence
requirements. For project-specific roles not included in the common document or contract
documents, the projects should define locally, such required competencies.

When determining the level of competence required for a task, the following factors should be
considered: roles and responsibilities in the workplace; nature of the tasks to be performed, and
their associated safety & health risks; individual capability (e.g. literacy, language, age, etc.); the
complexity and requirements of work procedures and instructions; the results from incident
investigations; and any legal and other requirements.

The project shall ensure that any person under its control performing tasks that can impact on
safety & health is competent on the basis of appropriate education, training and/or experience,
and shall retain associated records. Specific attention should be given to the competency
requirements for those persons who will be performing high impact safety & health related
tasks like risk assessments; exposure assessments; audits; and incident investigations.

PROCESS 4.1.2 TRAINING

Objective of this element is to ensure that various levels of employees and the contractors are
adequately trained in safety & occupational health aspects, rules, policy, procedures and
techniques including safe behavior thus enabling them to be competent and motivated to
positively influence the total health & safety process in the business unit.

A system is to be in place to provide initial/induction, ongoing, and periodic refresher training

to meet job/role requirements and to ensure understanding of the measures to mitigate
potential risks in safety & health. All training records shall be maintained in a central system.

Induction training: All new employees shall attend formal safety & health induction to
understand the safety policy and framework before they begin with their duties. Where an
employee is transferred to another location, the HOP should ensure that a system is in place that
any such employee, new to the project shall necessarily undergo project site induction training,
and where applicable safety authorization assessment. All contractor workers who work in the
company’s premises shall be provided with safety & health induction training on the rules that
they should follow, before they begin work. Such induction training should appropriately
consider persons who may speak different language or, are illiterate. It should be ensured that
the consequences associated with nonconformity with health & safety requirements, including
unsafe/negligent behavior, is communicated explicitly during the site induction training.

Job/task training: Model and project-specific training plans needed to meet competency
requirements of Process 4.1.1 will be developed for those individuals in the positions that can
impact safety & health performance of the company. Training plans will consider scope and
frequency of training required to maintain competency of individuals performing various roles.

Corporate HR should arrange to develop standardized training modules in relevant languages,

as identified in the model training plan with training assessments integrated in the module. The
project will deliver and regularly evaluate training necessary to meet competency requirements
identified under Process 4.1.1. The training should focus on both safety & health related
competency requirements and the need to enhance awareness. Training records should be
maintained. The project should evaluate the effectiveness of the imparted training in any of
several ways like: by written or oral examination, practical demonstration or observation. All
HOSs and Area Engineers responsible for hazardous tasks (work at height, confined spaces,
excavation, demolition, hot work, work on high voltage apparatus) shall undergo annual
refresher training on such topics.

The respective HOS shall ensure that all contractors and outsourced persons in his control
undergo a job/task related training including safety & health hazards and risk aspects of the job
and they should be able to explain safety & health hazards and risks and exposure
controls/effects related to their job and tasks. Such training includes short tool box talks.

General Health & Safety training: The model and project-specific safety & health training
programs should consider general courses aimed to maintain a climate of health & safety
awareness in the company and project and to ensure that the skills in accident and occupational
disease prevention, etc., are upgraded.

To ensure safety & health competence related training stays relevant, model training plans will
be periodically reviewed and updated.

ELEMENT 4.2 – SAFETY COMMUNICATION

The Objective is to ensure that formal and informal systems are in place to ensure all staff are
conversant with Policy and Framework and, to convey specific and generic safety information.
It is to be ensured that: the Safety & Health policy, goals, objectives and related program results
are effectively communicated to all levels of employees, contractors, external and interested
parties at scale of the company and at the project level; Safety & Health issues are constantly
promoted through various communication means, in addition to formal committees and
training programs, as a means to maintain employees’ and workers’ interest; and, Safety &
Health information is shared with relevant external and interested parties.

Communication procedures should ensure that formal and informal systems are in place for
internal communication within the company, with workers, contractors, visitors and with
external/interested parties. When developing procedures for communication, the following
should be considered: message complexity; the target audience and their information needs;
appropriate methods and media; factors like illiteracy or language; legal requirements; and,
ways to evaluate the effectiveness of the communication. Channels of safety & health
communications can include: briefings and meetings, induction/orientation talks, newsletters,
posters, emails, messages, suggestion boxes/schemes, websites, notice boards.

PROCESS 4.2.1 INTERNAL COMMUNICATION

All levels of management should establish systems for effective safety & health communication
across levels and across functions.

This should include information: relating to management’s commitment to the safety

framework (e.g. safety & health committees, programs undertaken and resources committed to
improving safety & health performance); concerning the identification of hazards and risks (e.g.
observations of high-risk tasks, planned job observations, tool box talks); about safety & health
objectives and other continual improvement activities; relating to incident investigation (e.g.
the type of incidents that are taking place, factors that may contribute to the occurrence of
incidents, results of incident investigations); relating to progress in eliminating safety & health
hazards and risks (e.g. status reports showing progress of projects that have been completed or
are underway) and; relating to any changes that may impact on the safety & health aspects at
the project. A system should be in place to facilitate feedback from employees and workers.

PROCESS 4.2.2 COMMUNICATION WITH CONTRACTORS AND OTHER VISITORS

Projects should maintain procedures for communicating health & safety requirements,
including behavior, with contractors and other visitors to the workplace. The extent of this
communication should be appropriate to the safety & health hazards and risks associated with
the work to be performed. It should also be ensured that the consequences associated with
nonconformity with health & safety requirements including unsafe/negligent behavior are
explicitly communicated to contractors, periodically.

For visitors (including delivery persons, customers, members of the public, service providers,
etc.), communication may include warning signs, boards, security barriers, as well as verbal or,
written communication. Information that should be communicated includes: safety & health
requirements relevant to their visit; responses to emergency alarms; traffic controls; access
controls and escort requirements; any personal protective equipment that needs to be worn.

PROCESS 4.2.3 PROCEDURES FOR WORKER PARTICIPATION & CONSULTATION

The project should have a procedure(s) in place to enable workers and contractors’ participation
and consultation. The procedure and methods adopted should take account of applicable legal
or regulatory requirements, language and literacy issues. Procedure should facilitate feedback
from workers and contractors.

PROCESS 4.2.4 COMMUNICATION & CONSULTATION WITH EXTERNAL PARTIES

Gaps in critical communication with external or interested parties can hurt the image of the
company. To mitigate such risk, there should be a designated point of contact for all such safety
& health related communications at corporate, region and project levels. No other employee
should be permitted to communicate with external or interested parties. This allows for
appropriate information to be communicated in a consistent manner. This can be especially
important in emergency situations where regular updates may be needed, and a wide range of
questions may need to be answered.

NTPC is committed to demonstrate transparency on safety and health risk management

progress and performance to, all interested and affected parties. As a part of that process: The
project should identify the relevant parties, which it may need to consult with, on certain safety
& health matters like regulatory bodies (e.g. Dept. of Factories, Dist. Medical Officer), or
emergency services (e.g. police, hospitals, fire services), those who may be affected by the
Company's activities (neighborhood populace) and those who may affect the project’s safety &
health (nearby factories).

Legal and other required communication is to be identified and monitored (e.g. mandatory
reports to authorities like Dept. of Factories); a system should be established to receive,
document, transmit and respond to communication received from external and interested
parties.

Procedure should be in place to allow the relevant and interested parties access to information
on the company's safety & health performance. The company's published annual reports should
include relevant safety, health aspects.

ELEMENT 4.3 – SAFETY AWARENESS, REWARDS & RECOGNITION PROGRAMS

The Objective is to continually promote health & safety awareness among all employees and
contractors by introducing various health & safety promotional programs including rewards
and recognition.

The top management will promote the growth of a positive health & safety culture by:
Clearly and regularly communicating safety policy, goals, objectives, standards and,
performance to employees; Communicating the safety responsibilities for the organization’s
personnel; Creating an effective employee reporting, suggestion & feedback system that
provides confidentiality; Making essential resources available to implement and maintain the
safety & health.

All levels of Management shall ensure that employees should be made aware of Safety Policy
and the hazards and risks that are relevant to their work area and activities. And that employees
have adequate health & safety reference resources available.

Safety & Health promotion and awareness needs across the company, region and individual
project levels, should be identified from possible sources like risk assessments, results of
audits/assessments, incidents, new developments, employee/contractor feedback.

All business locations, including projects, should have in place an annual safety & health
promotion program for reaching all employees and contractors considering all or, some of the
following: posters, videos and/or film shows; competitions. Schedules should be in place for all
promotional activities such that they are monitored. Improving awareness of safety & health
among employees and contractors should be actively pursued, this may be in various forms like
publicizing relevant safety & health achievements, behavior-based safety initiatives,
recognitions, holding competitions, audit results, sharing case studies, and relevant safety &
health related information from reliable external publications.
As a part of safety promotion, a reward and recognition (R&R) system shall be in place to assure
safety and build a safe work culture at corporate, regional, and location levels to appreciate the
right outsourced persons, contractors, and employees. A well-implemented R&R system will
convey to all the persons in the location that it is they who have the maximum positive impact
on identifying and resolving safety and health issues. Recognition must be specific, timely,
relevant, and appropriate, or else the motivational impact is eroded.

It needs to be explicitly noted that rewards are not a replacement for failure to effectively
manage the safety and health effort.

When staff and/or outsourced persons assimilate the intent of the policy that all accidents can
be prevented and that their individual initiatives are recognized, they can come with innovative
ideas to make the work environment safer. Likewise, outsourced persons demonstrating
consistent safety behavior, contractors with the right attitudes can ensure complete safety in
accomplishing assigned packages. These efforts need to be duly recognized by the R&R system.
An effective R&R system helps employees comprehend that while they will be held individually
accountable for at-risk practices/behavior, at the same time, rewards and recognition will
always follow good safety & health performance/practices.

The frequency of R&R needs to be appropriate. Monthly, Quarterly are recommended. Unless
the reward is very large, a year is too long a period to have to wait for reinforcement of safe
practices/performance. The frequency should be based on the level of R&R being implemented
i.e., Section, Department, Function, Project, Region, or Corporate. Illustrative occasions for the
R&R system can be monthly safety committee meetings, overhauling review meeting, etc., for
outsourced persons; and, for employees, these can include monthly review meetings like
operations reviews, etc., by HOP/ HOD. CC-Safety shall provide guidance on the same and the
location/region/corporate Human Resources function shall ensure it is implemented and
integrated where appropriate in the performance management system.

Rewards need to be tangible so that when persons see it in their home/workplace it serves as a
reminder of why they received it. Rewards might include a plaque, a certificate, an embossed
cap, a T-Shirt, or other assorted items that are reminders to the individual to stay motivated
towards safety and health performance. The scale should be such that employees feel motivated
to aspire for such recognition. It necessarily follows that the scale of the reward should
appropriately match the level at which it is being issued like the HOP, RED, Director, or the CMD.

An essential requirement for any R&R system's effectiveness is its credibility. R&R for the sake
of it would seriously undermine the efforts towards making workplaces safer. Thus, any R&R
system is a dynamic tool that must be flexible enough to address changes that may occur over
time and consider the makeup of the persons at the locations and situations.

Off-the-job health & safety promotion activities should be organized at all the business locations
periodically, to create awareness of the off-the-job safety & health hazards and the precautions
to be taken. Promotion may be in the form of talks, bulletins, messages, leaflets, posters, videos.

System should be established to monitor the effectiveness of the health & safety promotion
programs, and identify needs for further promotion and awareness programs.

*****
 PERFORMANCE MEASURES - COMPONENT 4

Monitoring
# Element Process Title Process Owner Input Output Process Measures / KPIs
Accountability

Safety & Health Related Safety Framework

4.1.1 Identified Safety & Health Documented requirements for safety &
01 Competence CC-Safety CC-Safety
Competence competence requirements health competencies against roles
- at company level Organization roles & responsibilities
Safety & Health Related Safety Framework Identified Safety & Health
4.1.1 CC&M / Shared Documented requirements for contractors’
02 Competence competence requirements for CC-Safety
Competence Services safety & health competencies against roles
- for contracts Project roles & responsibilities contract workers
Safety & Health Related Documented requirements for role
4.1.1 Identified Safety & Health Matrix of roles and safety & health
03 Competence HOP safety & health competencies Site safety Coordinator
Competence competence requirements competencies
- at project level Site conditions
Documented requirements for Model Matrix of roles and safety & health
Model Annual Safety & Identified Safety & Health training
04 4.1.2 Training CC-Safety safety & health competencies training needs with refresher training CC-Safety
Health training plan requirements
against roles frequency
Documented requirements for
Identified Safety & Health training
05 4.1.2 Training Induction training CC-Safety safety & health competencies Standard Site Induction training program PMI
requirements
against roles
Modular standardized
Model Matrix of roles and safety &
Safety & Health training % Safety & health training programs
06 4.1.2 Training PMI health training needs with refresher PMI
- standard modules Safety & Health training programs developed against Model training plan
training frequency
in relevant languages
Model Matrix of roles and safety &
Safety & Health training Identified Safety & Health training Safety & health training plan for projects in Region Safety
07 4.1.2 Training RED health training needs with refresher
plan for the Region requirements place Coordinator
training frequency
Model Matrix of roles and safety &
health training needs with refresher Competence improvement
Safety & Health training
08 4.1.2 Training HOP training frequency Safety & health training plan for the project Site Safety Coordinator
plan for the Project
Reduced incidents
Project Specific competence needs
Improved awareness among HOSs % HOSs and Area Engineers trained in annual
09 4.1.2 Training Job/task training HOP Competency matrix Site Safety Coordinator
& Area Engineers refresher training
Job/task training- Improved awareness among % workers trained in job/task & refresher
10 4.1.2 Training HOS Competency matrix Site Safety Coordinator
Function contractors training
4.2.1 Internal Improved awareness among No. of meetings/
11 HOP Safety Framework Site Safety Coordinator
Communication Communication employees communications
4.2.2 Communication with Site Safety Improved awareness among No. of signs/boards in common paths used by
12 Incidents, Audits etc. Site Safety Coordinator
Communication Visitors Coordinator Visitors visitors
4.2.3 Worker participation
13 HOP Legal & other requirement Legal Compliance Compliance report Site Safety Coordinator
Communication Compliance
4.2.4 Communication with Safety Framework Designating single point contact for Identification of single point contact for sites
14 RED HOP
Communication external parties matrix Legal or other requirement sites in region in region
4.3 Awareness Health & Safety Site safety Improved awareness among staff, % Awareness programs completed against
15 Safety framework Site Safety Coordinator
programs awareness programs Coordinator contractors scheduled
Schedule of rewards & recognition program.
4.3 Awareness Rewards & Recognition Improved motivation among Relevant HR function –
16 HR function Safety framework % recognition programs completed against
programs programs employees & outsourced persons site, region, corporate
scheduled.
 Annexure 1 - Appointment Of Key Safety Roles

All Appointments, through Circulars, should be in writing and accepted by the appointee and
records maintained by the Safety Department, on behalf of the HOP. The term “appointment” used
here does not specify or insist on direct employment by the company but should be understood to
mean: “nominated”, “designated” or “deployed”.

SITE SAFETY COORDINATOR

Safety Coordinator shall be Appointed as deemed necessary. Duties and responsibilities of Site
Safety Co-coordinator:

 Single point contact for the HOP and Site staff on Safety matters.
 Identify and measure health and hygiene hazards or risks in the workplace and take, or cause
to take, positive action to prevent occupational accidents or diseases.
 Provide coaching and internal briefing relating to the Safety Framework.
 Assist HOP in establishing site LMIs and work instructions.
 Coordinate hazard surveys and studies.
 Plan and facilitate management system self-audits.
 Discuss with the Health & Safety Committee Chairman on safety performance and recommend
safety measures at the safety meetings.
 Act as secretary to the Site’s Safety committee.
 Co-ordinate and compile incident statistics.
 Co-ordinate and monitor unit’s Safety training.
 Assist in arranging Safety promotion and publication.
 Arrange Safety talks and briefing.
 Monitor the implementation schedule of the safety programs and co-ordinate regular
inspections of the areas by Safety Representatives.
 Compile data, prepare and submit reports to HOP & Regional Safety Office.
 Making daily site rounds, inspecting workplaces to identify potential hazards and reporting the
findings to the HOP.
 Compile & investigate as appropriate, accidents/dangerous occurrences and report to the HOP.
 Advising the HOP of any repair or maintenance in respect of premises, plant and equipment
that ought to be carried out in the interest of safety and health.
 Mentoring, monitoring safety stewards / Safety Representatives.
 Maintain all safety related records.

SITE SAFETY OFFICER

Safety Officer shall be Appointed as deemed necessary or, as required to comply with the
legislations like Factories Act. The Site Safety Officer is accountable to ensure that the site complies
fully with the relevant Health & Safety related legislations and licenses. Safety Officer role may be
combined with Site Safety Coordinator role.
EMERGENCY COORDINATOR
A person should be Appointed at every location to coordinate the control of emergency action
plans. Roles specified by the Emergency Preparedness Plan for the Site must be identified and
assigned by the HOP.
The Emergency Coordinator must undergo a refresher training program on the
Emergency/Disaster Management Plan, every year.

EMERGENCY MANAGEMENT TEAM MEMBERS

The HOP must assign Persons/Roles unambiguously in the Emergency Management Plan for
different aspects of handling emergencies/disasters.

All persons enacting roles under the Emergency Management Plan must undergo a refresher
training program on the Emergency/Disaster Management Plan, every year.

SAFETY COMMITTEE
Safety Committees are established at Sites, in the interest of establishing and maintaining
arrangements to ensure Safety & Health issues are adequately attended, with participation from
all levels of employees. The Safety Committee should be appointed according to the organization
set up at the site. Appointment of all committee members should be in writing and accepted.

The Committee, preferably, consists of the following roles:

 Chairman – usually, the HOP or his nominee.
 Secretary – usually, the Site Safety Coordinator.
 Members - consists of persons from different levels.
 Safety Representatives.
 Occupational Health Practitioner/Nurse.
 External Member - an experienced Safety/Health practitioner as an invited member.
 The Committee shall be provided with written terms of reference and meeting procedures.
 The Committee formation should comply with legal requirements.
 Safety committee should meet periodically, which shall not be less than once per quarter.
 Minutes of Meeting (MoM) should be kept for all meetings.
 MoM should record actions to be taken, responsible persons, and their target completion dates.
 MoM should be signed by the Chairperson or the designated manager.
 MoM should be circulated/communicated at all levels in the site.
 All minutes should be filed and retained for at least 5 years (or, as required by the law) for
reference and possible later perusal.

SAFETY STEWARDS/REPRESENTATIVES
To appoint personnel, who are familiar with the work activities and conditions at the workplace,
to carry out regular safety inspections, so as to identify and eliminate unsafe acts and conditions.

 Sufficient number of Safety Representatives should be nominated/appointed for specific areas

at the Site. Such appointment of Safety Representatives should be at ratio of at least 1:50.
 Appointment should be in writing and accepted.
 Appointed persons should be familiar with the work activities and conditions at the workplace.
 Names of Safety Representatives and their areas of responsibility should be
circulated/displayed/accessible by all employees.
 Duties and responsibilities of Safety Representatives should be defined and communicated.
 Safety Representatives should give feedback about their duties, daily with Site Safety
Coordinator.
 Safety Representatives shall carry out inspections of their designated work areas at least once
a month;
 Safety Representatives shall report deviations, in accordance with legal requirements, as well
as the Safety Framework requirements;
 When required by the HOP/Management, Safety Representatives shall participate in accident
investigations or, act as the member of Safety Committee.

CONTROL OF SUBSTANCES HAZARDOUS TO HEALTH (CoSHH) / HAZARDOUS

CHEMICAL SUBSTANCES (HCS) COORDINATOR
A person should be appointed to co-ordinate control of all hazardous chemical substances at a
business unit / premises. The coordinator should be trained or, have sufficient knowledge of the
substances on site. The coordinator’s duties should include:

 conduct health & safety risk surveys on impact of Hazardous Chemicals stored at site.
 maintain list of hazardous chemical substances (considering the quantities maintained at site).
 monitor any hazardous substance brought into the factory premises including the
occupational exposure limit of the substance.
 monitor proper storage, handling and disposal of the substances.
 advise management on the control of hazardous chemical substances.
 ensure sufficient information are provided to appropriate personnel.
 ensure updated MSDS Material Safety Data Sheets, are available at the required locations.

PERMIT TO WORK SYSTEM - COMPETENT PERSONS

Competent Persons shall have the responsibilities, which are detailed in the E&M Safety Rules and
specified in a limited way below. A Competent Person shall:

 comply with Safety Rules when carrying out work or, testing whether instructions are issued
orally or, in writing.
 use safe methods of work, safe means of access and personal protective equipment which are
required for their safety.
 shall understand the contents of Safety Document under which, work shall proceed.
 during the course of the work adhere to, and instruct others under their charge to adhere to,
any conditions, instructions or limits specified on a Safety Document. This shall also apply to
a Selected Person’s report, an Earthing Schedule, any written instruction/procedure regarding
the method of work or testing, or an Approved written procedure for restoration of motive
power supplies.
 if during the course of work or testing, a hazard which could give rise to Danger arises or, is
suspected, warn all persons as quickly as possible to withdraw from and not to work on the
Plant and Apparatus concerned until further notice. This situation shall be reported
immediately to the Central Control Room.
 Competent Persons clearing or, suspending a Safety Document shall only do so after all persons
working under the Safety Document have been withdrawn from, and warned not to work on,
the Plant and Apparatus concerned. They shall ensure that all tools, gear and loose material
have been removed, guards and access doors replaced, the work site left tidy and any exceptions
clearly noted in the Clearance section of the Safety Document.

PERMIT TO WORK SYSTEM - NOMINATED SUPERVISORS (AREA ENGINEER)

In addition to responsibilities as Competent Persons, Nominated Supervisors shall have the
responsibilities, which are detailed in the E&M Safety Rules and specified in a limited way below:

 Before setting people to work, implementing the necessary measures to establish General
Safety at and, in the vicinity of the workplace and, instructing Working Parties in respect of
General Safety provisions that must be maintained throughout the work.
 Retaining in safe custody, personally retained Safety Documents, Keys and associated items
which are surrendered for transfer, and when work is required to recommence.

PERMIT TO WORK SYSTEM - AUTHORISED PERSONS

In addition to responsibilities as Competent Persons, Authorized Persons shall have some or all of
the following responsibilities, which are detailed in the E&M Safety Rules and specified in a limited
way below, within the limits imposed by their certificate of authorization. These shall include:

 when working for achieving Safety from the System, correctly implementing procedures
specified by the Senior Authorized Person, before work commences;
 carrying out the instructions of the Senior Authorized Person in other circumstances, to apply
safety precautions. Reporting back and signing a record of the completion of these actions;
 as the recipient of a Sanction for Test:
o meeting the requirements of E&M Safety Rules;
o being present during testing & be responsible for all matters of safety concerned with the
test;
o giving instructions for the removal and re-application of those safety precautions which
may be disturbed whilst at the same time maintaining Safety from the System;
o implementing procedures to ensure Safety from the System and from the test equipment as
dictated by the test program.

PERMIT TO WORK SYSTEM - SENIOR AUTHORISED PERSON

In addition to responsibilities as Authorized Persons, Senior Authorized Persons (SAP) shall have
some or, all of the following responsibilities, which are detailed in the E&M Safety Rules and
specified in a limited way below, within the limits imposed by their certificate of authorization:
 Correctly implementing specified procedures for releasing Plant and Apparatus for work or,
testing and, for ensuring that all safety precautions which achieve Safety from the System are
completed, meeting the requirements of E&M Safety Rules.
 Ensuring that Safety from the System has been achieved or, will be achieved when the
requirements of the Safety Document are completely implemented;
 When issuing or, reissuing a Safety Document after transfer or suspension: ensuring that the
contents of the Safety Document, Earthing Schedule and any Selected Person’s report or,
approved written procedure for the restoration of motive power supplies, to be issued with the
Safety Document, are fully explained to the recipient and satisfying himself that the recipient
understands those contents;
 When a Safety Document is to be suspended: receiving the Safety Document under the transfer
procedure; and when work or, testing is to be resumed and the Safety Document is to be
reissued following suspension, checking and confirming that the recorded safety precautions
for the Safety Document are as stated and still valid;
 When cancelling a Safety Document: satisfying himself that the requirements of the clearance
section of the Safety Document have been correctly implemented; checking that all the items
issued with the Safety Document have been returned or, accounted for; satisfying himself as to
the operational state of the Plant and Apparatus;
 When the means of achieving Safety from the System is by limiting the work or, testing or, the
area in which they are to be carried out, deciding to issue a Limited Work Certificate, in those
situations, where oral instructions may be insufficient.
 When work or testing is to be done outside Safety Distance from exposed High Voltage
conductors, deciding whether to issue a Limited Work Certificate because of the close
proximity of the limit of Safety Distance.

PERMIT TO WORK SYSTEM - SELECTED PERSON

A Selected Person is responsible for using his appropriate technical knowledge and experience for
making a report and recommendations to overcome hazards, which may prevent work or, testing
being performed safely, on Plant and Apparatus that has otherwise been made safe.
If it is considered necessary by a Senior Authorized Person or, a Competent Person responsible for
work, to carry out a check on Plant and Apparatus or working areas for hazards, the Selected Person
shall carry out tests and examinations, he considers necessary. A written report shall be prepared
by the Selected Person, who will be responsible for ensuring that its recommendations, when
implemented, will ensure safe working conditions relating to the hazards.

The following Appointments are special cases of Selected Person role:

 HOT WORK ASSESSOR  LIFTING EQUIPMENT INSPECTOR

 SCAFFOLDING AND LADDER INSPECTOR

The following roles are also cases of Selected Person role, but are not part of the E&M Safety Rules:

 PORTABLE ELECTRICAL EQUIPMENT INSPECTORS

 STACKING SUPERVISOR FOR STORES
INCIDENT INVESTIGATORS
Trained investigators are to be designated in writing at the site for conducting investigations on
Safety incidents.

 Appropriate Safety & other expertise may be co-opted to the investigation team as required.
 Appointed investigators should be properly trained in the principles and techniques of incident
investigation to ensure proper investigation process are performed.
 Site Safety Coordinator and Safety Representatives should also be trained and involved in
relevant incident investigations.
 Training records should be maintained in accordance with the current corporate requirements.
 Outside expert services may be utilized in investigation process where in-house expertise is
insufficient.

INTERNAL AUDITORS
The HOPs shall appoint internal auditors including those for rotating cross-functional audit, for
internal audits, in writing. Thus the project shall always be able to draw in from a pool of
designated Internal Auditors as part of system audits for Safety Assurance program. CC-Safety
shall monitor adequacy of numbers of Internal Auditors for Health & Safety Framework.
Responsibilities of Internal Auditors shall include and not be limited to the following:

 Conduct risk evaluation of assigned functional area or, department as per the schedule.
 Evaluate level of conformance of safety system processes with Policy, Framework, legal &
regulatory requirements.
 Evaluate site safety processes to analyze productiveness of controls and risk alleviation.
 Obtain, analyze and evaluate previous reports, data, etc.
 Identify loopholes and recommend risk mitigation measures.
 Engage to continual knowledge development regarding sector’s rules, regulations, best
practices, tools, techniques and performance standards.
 Assist in development of audit plans, audit schedules.
 Identify processes, situations, etc., where organization is meeting requirements, as well as
identify opportunities for improvement.
 Document process and prepare audit findings memorandum.
 Assist with follow-up audits, as required.

OCCUPATIONAL HYGIENIST
The Company should appoint an Occupational Hygienist or, when necessary establish an access to
such (external) services. Primary purpose of hygiene surveys is to ensure periodically that health
stressors are being managed appropriately. Some of the Occupational Health Stressor surveys that
are done by the appointed Hygienist are:

 Lighting/Illumination Survey  Heat and Cold Stress Survey

 Noise Survey  Hazardous Biological Agents Survey
 Dust Surveys  Ergonomics Survey
 Ventilation/Indoor Air Quality Survey
MEDICAL OFFICERS / OCCUPATIONAL MEDICINE PRACTITIONER
Occupational Medicine Practitioner / Medical Officer is appointed to maintain optimum health
status of workforce through the provision of a holistic occupational health service in order to
ensure early identification of disabilities, occupational diseases of all employees, and to assess the
effectiveness of the health and hygiene program at the workplace. Responsibilities for the role
include, and are not limited to:

 Identify all occupational health risks for all severe emergency scenarios at Sites.
 Ensure through periodic reviews, adequacy of occupational health service/facilities to cater for
identified risks, including emergencies.
 Ensure that the site’s occupational health service/facilities, such as clinic are adequately
sized/staffed and accessible.
 Ensure emergency first-aid service shall be available at all times, at the Site.
 Establish standard purchasing specifications for equipment and medicine stocks.
 Ensure medical equipment is properly maintained, serviced and calibrated.
 Implement and maintain, a records control system, assuring maintenance of applicable
confidentiality code of patient information.
 Ensure adequate number of qualified occupational nursing practitioners and first-aiders at the
workplaces in compliance with the legal requirements.
 Formulate and ensure imposing appropriate controls against infectious diseases (like HIV,
Hepatitis B, Swine Flu, Avian Flu, Covid-19 etc.).
 Generate & maintain periodic reports on occupational health status & developments in the site.

OCCUPATIONAL NURSING PRACTITIONER

The HOP should appoint a professional registered Occupational Nursing Practitioner(s) or,
establish an access to such services.

 Such appointed Nurse(s) shall have professional registration. The license/registration of the
Occupational Nursing Practitioner(s) should be accessible when needed.
 Occupational Nursing Practitioner(s) participate and carry out when asked, in health risk
assessment training.
 Carry out First-aid training at general level on specific first-aid treatment associated with
plant/workplace specific hazards.
 Nurse(s) shall ensure that all tests should be carried out in accordance with standards.

FIRST AIDERS
The site shall have properly trained first-aid personnel as well as adequate first-aid equipment at
the workplaces; and to minimize injury/diseases/illnesses severity and impact. Certified First-
Aiders should be trained by qualified first-aider trainer of accredited institution.
Appointed First-Aiders shall carry out First-aid training at general level on specific first-aid
treatment associated with plant/workplace specific hazards.
 Annexure 2 – Role-wise Sorted Performance Measures for all Components

Table also lists standardized Text strings to be used in sap for consistency
& action expected for demonstrating compliance
 CONSOLIDATED PERFORMANCE MEASURES FOR: RED

Process Process Monitoring

# Element Process Title Input Output Frequency SAP Short Text / Expected Action Next Due
Owner Measures / KPIs Accountability

SFW REGION STAFF SAFETY POLICY AWARENESS

Written Every
Regional Safety Coordinators to take written confirmation
1.1 Safety Policy Employee Confirmation Region Safety National
CC-Safety Safety Policy 1 year from all region HOPs that individual employees have given
Safety Policy Awareness Awareness from all Coordinator Safety
undertaking that they have understood their
employees Day
accountabilities under Safety Policy.
Date of confirmation from Projects to be updated.

1.2 Management No work

commitment and Resource Requests from Provision for stoppage or, Number of Pending PRs that relate to Safety performance
Management RED Region OS Quarterly
Safety Sites Resources incidents due to at Region HQ
commitment accountabilities lack of resource

Emergency Plans SFW 140 REGION EMERGENCY MANAGEMENT PLAN

1.4 Emergency
Safety Framework & Emergency & mock drills in Region Safety
Emergency response planning RED 1 year Confirmation to be taken from all HOPS of the Region that
incident investigations preparedness place for the Coordinator
Response - Region DMP/EMP are in place for their Projects.
region

1.4 Emergency Site Safety On-site Emergency plan Emergency Region Safety SFW 140 REGION MOCK DRILL STATUS
No. of mock drills 6-months
Management Plan Coordinator & findings in mock drills preparedness Coordinator Regional Mock Drill details to be updated.

SFW 150 REGION SAFETY OBJECTIVES

Previous Year Safety Approved Safety Communicate
Region Safety Annual Safety Objectives for the Region to be
1.5 Safety Objectives RED Performance measures, Objectives for the Safety Objectives 1 year
Coordinator uploaded/attached. Communication to all HOPs of the
Incidents Reviews year for sites to Sites in Region
same is to be to be recorded.
SFW 210 REGION RISK MGMT HIRA REVIEW
Confirmation from all HOPs of the Region on
1 year, or
% HIRA study completion/review of HIRA study for their project to be to
2.1 Safety Risk HIRA at Region Safer workplace, Region Safety major
RED Safety Framework completed for be uploaded/attached/recorded.
Management Level Reduced incidents Coordinator incident, if
sites in region
applicable For Construction: Table of identified high risk activities
like heavy lifting etc. and JSA/MS availability for each high
risk activity from Contractor is to be confirmed from HOP.
No. of trained SFW 230 REGION TRAINING INCDENT INVESTIG
Trained Incident Pool of Trained
2.3 Incident Incident Region Safety
Investigators In RED Safety Framework Incident Half-yearly Training for Incident Investigation at projects in the
Investigation Investigators in Coordinator
the Region Investigators Region to be updated.
the region
 Process Monitoring Next
# Element Process Title Input Output Process Measures / KPIs Frequency SAP Short Text / Expected Action
Owner Accountability Due

Circulation of Incident Improved safety SFW REGION INCIDENT REPORT CIRCULATION

2.3 Incident Region Safety
Reports in RED Investigation awareness % of Incident Reports circulated Quarterly List of Incidents & circulation of reports rec’d to all
Investigation Coordinator
Region Reports among staff HOPs in the Region to be uploaded/recorded

HOP’s Written SFW 230 REGION HOP INCIDENT RELATED CAPA

Improved safety
Confirmation of Incident
2.3 Incident awareness % written confirmation against Region Safety Written Communications from all HOPs of the Region
Corrective / RED Investigation Quarterly
Investigation among staff & Incident Reports circulated Coordinator on Corrective/Preventive Action for their project to be to
Preventive Reports
safer workplace be uploaded/attached.
Actions taken
SFW 240 REGION INCIDENT RECALL CASES
2.4 Indent Recall at Incident data Case studies, Regional Case studies, Guidance to Region Safety Case studies from Region to be compiled & circulated to
RED Quarterly
Incident Recall Region Level & reports Patterns Sites on similar incidents Coordinator Regional Projects and Corp Safety to reduce recurrence
of incidents.
Region-wide
Legal SFW 310 REGION LEGAL COMPLIANCE STATUS
3.1 Legal Periodic Reports
Safety compliance Region Safety Status (table) of non-compliances to legal & other
Legal compliance at RED Quarterly
Framework Coordinator requirements, in the Region with resolution dates &
Compliance Region Level % audits’ Non-Conformities closed
Reduced accountabilities to be updated.
litigation
3.2.4 & 3.2.5
Annual schedule SFW 320 REGION AUDITS STAUS
3.2
% audits completed in time
Safety Region level - Safety Region Safety Table with Regional (internal & external) Audits’
RED for internal & Quarterly
Performance Periodic Framework Coordinator schedule, status of completion & status of NCs with
external safety % audit findings closed
Monitoring Monitoring resolution plans to be updated & uploaded.
audits
system
Model Matrix
Identified Safety SFW 412 REGION SAFETY TRAINING PLAN
Safety & Health of roles &
& Health Safety & health training plan for Region Safety 6-monthly or,
4.1.2 Training training plan RED training needs Annual Safety Training schedules of all Regional
training projects in place Coordinator if required.
for the Region with refresher Projects to be verified for adequacy and recorded.
requirements
training

Safety Designating SFW 421 REGION COMMUNICATIONS MATRIX

Communication
4.2.4 Framework single point Identification of single point Communication to Regional HOPs designating the
with external RED HOP 1 year
Communication Legal or other contact for sites contact for sites in region Emergency Coordinator for respective Project to be
parties
requirement in region maintained.
 CONSOLIDATED PERFORMANCE MEASURES FOR: CC&M / Shared Services

Process Monitoring Next Due

# Element Process Title Input Output Process Measures / KPIs Frequency SAP Short Text / Expected Action
Owner Accountability

Safety Conditions of Contract Annual Self Audit of issued contracts for

1.6 Safety & Health CC&M / Material Contract
included in standard contract CC&M / Shared the preceding year, for gaps in inclusion
Safety related Clauses Shared Services execution with 1 year
documents for large & small Services of Safety Conditions of Contract to be
Documentation in Contracts Services Requirement Zero incidents
services & supplies carried out.

Standardization
List of standard suppliers & brands for
of quality &
routine replenishment items like PPE to
1.6 Procurement of CC&M / Feedback Consistent List of standard suppliers &
CC&M / Shared be communicated to CC-safety and SSC
Safety replenishment Shared from CC- quality in safety brands for routine replenishment 1 year
Services and HOPs to ensure consistency in
Documentation items Services Safety & health related items like PPE
quality of safety PPE used by frontline
items across the
workers exposed to danger.
company

1.6 CC&M / For relevant contracts: Clause on

Training on new Training completion before CC&M / Shared
Safety Shared New project Trained staff 1 year training & appropriate payment linked
plant/modules handover, Training records. Services
Documentation Services to completion of training.

General
Procedure for placement of contracts to
3.6 CC&M / Safety Conditions of
Pre-placement CC&M / Shared include aspects covered in Safety
Contracts Shared Framework, Contract with Procedure 1 year
of contract Services Framework incl. competence
control Services polices health & safety
requirements.
clauses
 CONSOLIDATED PERFORMANCE MEASURES FOR: Corporate-OS

Process Process Measures / Monitoring

# Element Process Title Input Output Frequency SAP Short Text / Expected Action Next Due
Owner KPIs Accountability

1.6 Safety Rules Works on

Corporate- Issue of E&M Safety
Safety (Electrical & Plant & Safety Rules Corporate-OS 5 years Review to be carried out.
OS Rules
Documentation Mechanical) equipment

Info on new
1.6 Access to
Corporate- New Accessible documentation Communication to Projects and other relevant
Safety Safety Corporate-OS 1 year
Safety Documents documents availability to functions on new documentation.
Documentation Documentation
sites/regions

Guidelines for
1.6 Issuance of Guidelines Guidelines for Safety Inspections & Audits to
Safety Corporate-
Safety Framework Guidelines for Safety Inspections & Corporate-OS 5 years be from Corporate-Safety to be included in
Inspections & OS
Documentation Audits procedure for Technical Audits.
Audits

Hazard Id &
Consistent 3 year, or major
2.1 Safety Risk Risk Corporate- Safety Standard Procedure for Standard Procedure for HIRA to be made
HIRA across Corporate-OS incident, if
Management Assessment OS Framework HIRA available for all Projects.
company applicable
(HIRA) system

Management HIRA study included Plant Modifications procedure to incorporate

2.2 Risk Management Corporate- Safety
of Change Change Approval Corporate-OS 3 year requirement for HIRA study inclusion before
Assessment of Change OS Framework
procedure process submitting for approval.

Incident Standard
2.3 Incident Investigation Safety Document for Availability of standard Standard Document for incident investigation
CC-Safety Corporate-OS 1 year
Investigation standard Framework incident procedure to be compliant with the Safety Framework.
process investigation
 CONSOLIDATED PERFORMANCE MEASURES FOR: Corporate HR & PMI

Process Process Measures / Monitoring SAP Short Text / Expected

# Element Process Title Input Output Frequency Next Due
Owner KPIs Accountability Action

1.2 Appointments: Appointments for all No. of vacancies in Key

Corporate Vacancies for roles in Review of roles & vacancies to be
Safety Safety specified roles as per Roles – REDs, HOPs & Corporate HR Quarterly
HR Framework carried out.
accountabilities accountabilities Framework Head- Corporate Safety

Documented 3 year or, if

requirements for Identified Safety & circumstances Standard induction training
Standard Site Induction
4.1.2 Training Induction training CC-Safety safety & health Health training PMI change program to be made available for
training program
competencies against requirements necessitating Projects.
roles early review

Modular
Model Matrix of roles 1 year or, if
standardized % Safety & health
and safety & health circumstances Safety & Health training programs
Safety & Health training programs
4.1.2 Training PMI training needs with PMI change in relevant languages to be made
training modules Safety & Health developed against
refresher training necessitating available to Projects.
training programs in Model training plan
frequency early review
relevant languages
Schedule of rewards &
recognition program. Relevant HR Rewards & Recognition for Safety
Rewards & Improved motivation Monthly,
4.3 Safety HR function – site, & Health programs to be
Recognition Safety framework among employees & % recognition Quarterly &
Promotion function region, implemented across Projects,
programs outsourced persons programs completed Annually
corporate Regions & Corporate level.
against scheduled.
 CONSOLIDATED PERFORMANCE MEASURES FOR: CC - Safety

Process Process Measures / Monitoring Next Due

# Element Process Title Input Output Frequency SAP Short Text / Expected Action
Owner KPIs Accountability

Safety Policy,
Material CC-Safety to SFW 110 SAFETY POLICY REVIEW
1.1 Safety Policy Safety Policy
CMD Changes Policy Review prompt the CMD 2 years Communication to be sent to CMD Office regarding
Safety Policy Review Revision
affecting on review due requirement for review
Policy

SFW 110 SAFETY POLICY AWARENESS

Reminder to be sent to all Regional Safety
Every
Coordinators to take written confirmation from all
1.1 Safety Policy CC- Employee Written Confirmation Region Safety National
Safety Policy 1 year individual employees that they accept their
Safety Policy Awareness Safety Awareness from all employees Coordinator Safety
accountabilities under Safety Policy.
Day
Date of reminder & confirmation from Regions to be
updated

1.4 Emergency Safety SFW 140 CORP EMERGENCY PLAN STATUS

Emergency Plans &
Emergency response CC- Framework & Emergency
mock drills in place for CC-Safety 1 year Confirmation to be taken from all Regions that valid
Response planning - Safety incident preparedness
all Sites DMP/EMP are in place for all projects
Planning corporate investigations

Previous Year Safety Objectives

Safety for the year, SFW 150 CORP SAFETY OBJECTIVES
1.5 Generation of possible
Safety CC- Performance Safety Annual Safety Objectives for the Company to be
Safety Safety Objectives for CC-Safety 1 year
Objectives Safety measures, Management formulated. Communication to all Regions of the
Objectives regions
Incidents Plans & Programs same is to be to be recorded.
Reviews for the year
SFW 210 CORP RISK MGMT HIRA REVIEW
Safer workplace, 1 year, or
2.1 Safety Risk HIRA studies at CC- Safety % HIRA study Confirmation from all Regions on completion/review
Reduced CC-Safety major incident,
Management Corporate Level Safety Framework completed for all sites of HIRA study to be to be
incidents if applicable
uploaded/attached/recorded.
Unified system for incident reporting to be
Incident
2.3 Incident CC- Safety System for System availability & implemented across the company, integrated with
Reporting CC-Safety 1 year
Reporting Safety Framework reporting awareness among staff centralized system for facilitating/follow-up of
system
corrective action.
 Process Process Measures / Monitoring Next Due
# Element Process Title Input Output Frequency SAP Short Text / Expected Action
Owner KPIs Accountability

Trained Incident Pool of Trained % of trained Incident SFW 230 CORP TRAINING INCIDENT INVESTIG
2.3 Incident Safety
Investigators In CC-Safety Incident Investigators at site CC-Safety 1 year Training for Incident Investigation at all the Regions
Investigation Framework
the company Investigators against requirement to be updated.

SFW CORP INCIDENT REPORT CIRCULATION

Incident Improved safety
2.3 Incident Circulation of % of Incident List of Incidents & circulation of reports rec’d to all
CC-Safety Investigation awareness among CC-Safety Quarterly
Investigation Reports Reports circulated Regions to be uploaded/recorded
Reports staff
incl. %incidents communicated to all sites

SFW 240 CORP INCIDENT RECALL CASE STUDY

2.4 Case studies,
Indent Recall at Incident data & Case studies, Case studies from incidents to be compiled &
Incident CC-Safety Guidance to Sites on CC-Safety Quarterly
Company Level reports Patterns circulated to all Regions Projects to reduce
Recall similar incidents
recurrence of incidents.

Company-wide Periodic Reports SFW 310 CORP LEGAL COMPLIANCE STATUS

3.1 Legal compliance
Safety Legal compliance Status (table) of non-compliances to legal & other
Legal at Corporate CC-Safety CC-Safety 6 monthly
Framework % audits’ Non- requirements, in the Company with resolution dates
Compliance Level
Reduced litigation Conformities closed & accountabilities to be updated.
3.2.4 & 3.2.5
Annual schedule % audits completed SFW 320 CORP AUDITS STAUS
3.2
in time
Safety Corporate level - Safety Table with (internal & external) Audits’ schedule,
CC-Safety for internal & CC-Safety 1 year
Performance Periodic Framework status of completion & status of NCs with resolution
external safety % audit findings
Monitoring Monitoring plans to be interlinked, updated or uploaded.
audits closed
system

3.2 Safety Periodic safety % trained Internal

Safety Pool of Trained Standard training schedule for projects to include
Performance assessments in CC-Safety Auditors company- CC-Safety 1 year
Framework Internal auditors Internal Auditor training
Monitoring the company wide vs requirement
 Process Monitoring Next
# Element Process Title Input Output Process Measures / KPIs Frequency SAP Short Text / Expected Action
Owner Accountability Due

Implementation quality
Monitoring of safety & health Number of incidents, accidents
3.2.6 Reactive safety & CC- system standards Included in:
Safety Framework CC-Safety Monthly
Measures health Safety %incidents communicated to SFW CORP INCIDENT REPORT CIRCULATION
incidents Prevent similar incident all sites
recurrence

Trends in incidents Trend analysis especially of REPEAT INCIDENTS to

Trends of non- be done and suggestions generated to progress
Analysis of Data from sites & conformances towards zero incidents.
3.2.7 Analysis CC-
data & regions in central % Repeat incidents CC-Safety Quarterly
of data Safety This report shall be circulated to all Regions, REDs
reporting system Ranked Areas for
Training needs identification & Top Management with recommendations on
improvement
on areas for improvements repeat incidents.
% reports circulated or
3.5 available on central system Included in:
Learnings CC- Incidents Reduced recurrence of
Continual CC-Safety Quarterly
from Incidents Safety investigation reports similar incidents SFW CORP INCIDENT REPORT CIRCULATION
Improvement %recurring incidents in total
incidents
Safety &
3 year or, if
Health Safety Framework
Identified Safety & Documented requirements for circumstances Documented requirements for safety & health
4.1.1 Related CC-
Health competence safety & health competencies CC-Safety change competencies against roles to be circulated to all
Competence Competence Safety Organization roles &
requirements against roles necessitating Projects & PMI for standardized training modules.
- at company responsibilities
early review
level
Safety & 3 year or, if
Safety Framework Identified Safety &
Health CC&M / Documented requirements for circumstances SFW 411 REQD WORKER ROLE COMPETENCE
4.1.1 Health competence
Related Shared contractors’ safety & health CC-Safety change
Competence Project roles & requirements for Requirements to be part of contract documents.
Competence Services competencies against roles necessitating
responsibilities contract workers
- for contracts early review
Documented 3 year or, if SFW 412 MODEL ANNUAL TRAINING PLAN
Model Annual Model Matrix of roles and
requirements for Identified Safety & circumstances
Safety & CC- safety & health training needs Model annual training plan for sites to be
4.1.2 Training safety & health Health training CC-Safety change
Health Safety with refresher training developed for ensuring health & safety
competencies against requirements necessitating
training plan frequency competence in workers.
roles early review
 CONSOLIDATED PERFORMANCE MEASURES FOR: HOP

Process Process Measures / Monitoring Next

# Element Process Title Input Output Frequency SAP Short Text / Expected Action Due
Owner KPIs Accountability

Appointment of Appointments of all Key SFW 130 KEY SAFETY ROLES APPOINTMENT
Safety Compliance to Site Safety
1.3 Key Safety HOP Safety Roles at the 1 year
Framework Appointments Coordinator Circular of Appointment to be attached
Roles - project project

Safety
1.4 Emergency Framework
Emergency response Emergency Emergency Plan in place Site Safety SFW 140 PROJ EMERGENCY PLAN REVIEW
HOP 1 year
Response planning - Findings in mock preparedness for the site Coordinator DMP/EMP to be preferably attached or linked securely.
Planning project drills & incident
investigations

1.4 Appointment of
Emergency
Emergency Constitution of Emergency Coordinator Site Safety
Response HOP Emergency Plan 1 year Included in: SFW 130 KEY SAFETY ROLES
Response EMP Team & EMP Team Coordinator
Teams
Planning Members/Roles

1.4
Infrastructure, its SFW 140 EMERGENCY MANAGEMENT INFRA PM
Emergency Emergency Emergency Emergency Site Safety
HOP availability & 6 monthly
Response Control Center Action Plan Control Center Coordinator List of equipment with PM date to be attached.
maintenance
Planning

Safety Objectives List of Safety SFW 150 PROJECT SAFETY PLANS STATUS
1.5 % Safety Plans in place Site Safety
Safety Plans HOP for the year for Plans & Quarterly Annual Safety Plans for all departments to be attached
Safety Plans for Departments Coordinator
sites Programs with updated progress.

SFW 160 SAFETY CHECK BEFORE TAKEOVER

1.6 Takeover of Where relevant only: Final Safety Inspection prior to
Pre-acceptance safety
Safety new HOP New project Safe Plan Head (O&M) 1 year takeover of new modules like FGD or new units to be
inspection
Documentation plant/modules attached.
Where not relevant: record “Not Applicable” & close.
Safer 1 year, or
2.1 Safety Risk HIRA studies at Safety workplace, Review of HIRA study – Site Safety major SFW 210 PROJECT RISK MGMT HIRA REVIEW
HOP
Management Site level Framework Reduced Project Coordinator incident, if Latest reviewed Project HIRA study to be attached.
incidents applicable
 Process
Process Monitoring
# Element Process Title Input Output Measures / Frequency SAP Short Text / Expected Action Next Due
Owner Accountability
KPIs

No. of HIRA
2.1 Safety Pool of SFW 210 PROJECT TRAINING HIRA
Risk Safety Training Site Safety
Risk HOP competent HIRA 6-monthly
Assessors Framework programs Coordinator Training records of HIRA program to be attached.
Management assessors
conducted
HIRA study
included SFW 220 CHANGE MANAGEMENT HIRA STUDY
2.2 Risk Management Proposal for Changed Site Safety
HOP Change Quarterly Table of Plant Modifications done in the period with HIRA study
Assessment of Change Change process/procedure Coordinator
Approval confirmation to be attached
process
% employees
Safety covered in
Improved SFW 230 TRAINING INCIDENT REPORTING
Awareness of Framework & Awareness
2.3 Incident awareness of Site Safety
Reporting HOP Legal Training 1 year Training records of Awareness of Legal and incident reporting to be
Reporting legal obligations Coordinator
requirements requirements Program on attached.
to report
to report Incident
Reporting

At least one SFW 230 INCIDENT REPORTING PROMOTION

Incident Promotion
2.3 Incident Safety such Site Safety
Reporting HOP programs for Quarterly Succinct report of incident reporting promotion programs for the
Reporting Framework promotional Coordinator
Promotion Incident reporting period/in progress to be attached.
program

Trained No. of trained

Pool of Trained SFW 230 TRAINING INCIDENT INVESTIGATORS
2.3 Incident Incident Safety Incident Site Safety
HOP Incident Quarterly
Investigation Investigators Framework Investigators in Coordinator Training records of Incident Investigation Program to be attached.
Investigators
At Site the company

SFW PROJECT INCIDENT REPORT CIRCULATION

Circulation of Incident Improved safety % of Incident List of incidents and dates of communication, venue of communication
2.3 Incident Site Safety like monthly meeting, channel of communication, to staff & workers to
Reports at HOP Investigation awareness among Reports Monthly
Investigation Coordinator be recorded/attached/linked. Details should include names of persons
Site Reports staff circulated
like HOSs/Area Engineers who have actually communicated to staff &
workers with dates.
 Process Monitoring
# Element Process Title Input Output Process Measures / KPIs Frequency SAP Short Text / Expected Action Next Due
Owner Accountability

SFW 240 CASE STUDIES ON INCIDENT RECALL

2.4 MoM of Safety Committee with Incident Recall included in

Indent Recall Incident data Case studies, Safety Meeting Minutes, Case Site Safety Agenda to be attached. Case studies presented based on
Incident HOP Monthly
at Site Level & reports Patterns studies, Tool box talks Coordinator Incidents to be attached. These can be consolidated
Recall
experience of one or more incidents within the project or
across the company or external to the company.
Site level
Periodic Reports SFW 310 PROJECT LEGAL COMPLIANCE STATUS
3.1 Legal Legal compliance
Safety Site Safety
Legal compliance at HOP Monthly Legal Register with compliance and Action plan for NCs if
Framework % statutory audits’ Non- Coordinator
Compliance Site level Reduced any to be linked/uploaded.
Conformities closed
litigation
Improved
Employee SFW 310 STAFF LEGAL AWARENESS TRAINING
awareness in
3.1 Legal Awareness of Safety % staff trained on Awareness Site Safety
HOP employees of Quarterly Training records for Legal Awareness training to be
Compliance legal Framework on Legal compliance Coordinator
legal uploaded/attached/recorded
requirements
requirements
3.2 3.2.4 & 3.2.5 Annual schedule % external audits completed in SFW 320 PROJECT EXTERNAL AUDIT STATUS
Safety Site Periodic Safety time Site Safety
HOP Quarterly External Audit scheduled vs completed with List of NCs and
Performance Monitoring Framework for external Coordinator
Monitoring system safety audits % external audit findings closed completion dates to be attached/recorded

3.2 3.2.4 & 3.2.5 Annual schedule % internal audits completed in SFW 320 PROJECT INTERNAL AUDIT STATUS
Safety Site Periodic Safety time Site Safety
HOP Quarterly Internal Audit scheduled vs completed with List of NCs and
Performance Monitoring Framework for internal Coordinator
Monitoring system safety audits % internal audit findings closed completion dates to be attached/recorded

Annual
3.2.3 Safety
3.2 Schedule for % CFT Reviews completed in SFW 320 PROJECT CFST AUDIT STATUS
assessments Safer workplace
Safety Site Cross- time Site Safety
by Cross HOP Monthly CFST Audit scheduled vs completed with List of NCs and
Performance functional Coordinator
functional Compliance completion dates to be attached/recorded
Monitoring Safety % Closing of CFT findings
teams
assessments
 Process Process Monitoring
# Element Input Output Process Measures / KPIs Frequency SAP Short Text / Expected Action Next Due
Title Owner Accountability

% trained Internal Auditors SFW 320 STAFF INTERNAL AUDITOR TRAINING

3.2 Periodic at site vs requirement
Pool of Trained Standard training schedule for projects to include
Safety safety Safety Site Safety
HOP Internal auditors 1 year Internal Auditor training
Performance assessments Framework %trained staff on safety Coordinator
/ assessors
Monitoring in the site assessments in each Table of Internal Auditors available at Project to be
function attached / recorded.
Provision of Legal Adequate
3.3 personal requirements personal
% facilities available against Site Safety Included in: SFW 310 PROJECT LEGAL COMPLIANCE
Mitigating hygiene & HOP hygiene & 1 year
legal requirements Coordinator STATUS
health risks sanitation Health related sanitation
facilities advisories facilities at site

% inspection schedules SFW 330 HEALTH RISK INSPECTIONS STATUS

Inspection
completed by Admin dept.
Maintenance schedule for Health risk Audit scheduled vs completed with List of
3.3 of personal hygiene Well maintained NCs and completion dates to be attached/recorded.
No of non-conformities in Site Safety
Mitigating hygiene & HOP hygienic Monthly Incl. wash rooms, kitchens, pantries, & similar
site safety assessments Coordinator
health risks sanitation & sanitation facilities common facilities
facilities facilities at
No. of complaints on Hygiene related Complaints if, any and resolution plan
site
hygiene facilities for the same.
Included in: SFW 240 CASE STUDIES ON INCIDENT
Incidents % reports circulated or RECALL
3.5 Learnings investigation Reduced available on central system
Site Safety Case studies presented based on Incidents to be
Continual from HOP reports from recurrence of Monthly
Coordinator attached. These can be consolidated experience of one
Improvement Incidents CC-Safety & similar incidents %recurring incidents in total
within Site incidents or more incidents within the project or across the
company or external to the company.
Employee
Feedback
3.5 Objectives, Where applicable, analysis of employee feedback to be
Continual Incidents % objectives / targets Site Safety
Continual HOP targets & Quarterly recorded & action plan to address the same to be in
improvement achieved Coordinator
Improvement Change in programs place.
Legal & Other
requirements
 Process Process Measures / Monitoring Next
# Element Process Title Input Output Frequency SAP Short Text / Expected Action
Owner KPIs Accountability Due

SFW 360 CONTRACTS RISK CONTROL MATRIX

Post-
3.6 Management of Matrix of contract Site-Contracts & Table that identifies risks and their control measures for all
placement of HOP Contract documents Quarterly
Contracts control contracts risks related risks & controls Area Engineer active contracts at the site to be maintained & reviewed
contract
periodically for adequacy of controls.
Safety &
Documented
Health Identified Safety
requirements for role Matrix of roles and SFW 411 WORKER ROLE COMPETENCE MATRIX
4.1.1 Related & Health Site safety
HOP safety & health safety & health Quarterly
Competence Competence competence Coordinator Training plan for the roles to be recorded/attached.
competencies competencies
- at project requirements
Site conditions
level
Model Matrix of roles
and safety & health Competence SFW 412 PROJECT WORKER SAFETY TRAINING
Safety &
training needs with improvement Safety & health training Annual worker safety & health competence
Health Site Safety
4.1.2 Training HOP refresher training plan & action for the 1 year improvement/refresher training plan to be attached &
training for Coordinator
frequency Reduced project updated with training program records updated with
the Project
and Project Specific incidents details like topic, attendees & trainer.
competence needs

Improved % HOSs and Area SFW 412 EIC HOD REFRESHER TRAINING
4.1.2 Job/task awareness Engineers trained in Site Safety
HOP Competency matrix 6-Monthly Annual staff safety & health competence
Training training among HOSs & annual refresher Coordinator improvement/refresher training plan to be attached and
Area Engineers training updated.
Improved
Internal Included in:
4.2.1 awareness No. of meetings/ Site Safety
Communicati HOP Safety Framework Monthly
Communication among communications Coordinator SFW PROJECT INCIDENT REPORT CIRCULATION
on
employees

4.2.3 Worker Legal & other Legal Site Safety Periodic compliance report to Factories Directorate.
HOP Compliance report 1 year
Communication participation requirement Compliance Coordinator Update: SFW 310 LEGAL COMPLIANCE PROJECT
 CONSOLIDATED PERFORMANCE MEASURES FOR: HODs HOSs Area Engineers

Process Monitoring Next

# Element Process Title Input Output Process Measures / KPIs Frequency SAP Short Text / Expected Action Due
Owner Accountability

SFW 160 O&M TRAINING BEFORE TAKEOVER

1.6
Takeover of new Pre-acceptance safety
Safety HOP New project Safe Plan Head (O&M) 1 year Where relevant only. Training records of staff on
plant/modules inspection
Documentation new modules like FGD or new units to be attached.

Operations Processes, Standard & Number of SOPs issued SFW 160 SOPs STATUS
1.6
Standard Operating consistent against number of
Safety Head (O&M) All HODs 3 years Table of identified Operations Processes with SOP
Procedures (SOPs) Incident Investigation operations operations processes
Documentation numbers to be attached
Reports practices identified

Maintenance Standard & Number of SMPs issued SFW 160 SMPs STATUS
1.6
Standard Maintenance Processes, consistent against number of Head
Safety Head (O&M) 3 years Table of identified Maintenance Processes with
Procedures (SMPs) Incident Investigation maintenance maintenance processes (Maintenance)
Documentation SMP numbers to be attached
Reports practices identified
SFW 160 SPECIFIC JOB PLANS STATUS
Head (O&M)
Head Table of equipment with Specific Job Plan
Specific Job Plans Maintenance Number of job plans
(or) (Maintenance) number, specific Isolation List number & specific
1.6 for maintenance / Processes, Standard & available against number or JSA to be attached
Safety & consistent job of equipment (or) number 1 year
Documentation Head Incident Investigation plans of critical erection/project Project works – For Construction: List of high risk activities like
for construction – high
(Project) Reports activities reporting to heavy lifting etc. to be identified and a table of
risk activities: lifting etc.
HOP JSA/MS availability for each high risk activity from
Contractor is to be maintained.

Operations Processes, SFW 160 SPECIFIC ISOLATION LISTS STATUS

1.6 Standard & Number of isolation plans
Head Table of equipment with specific Job Plan number,
Safety Specific Isolation Lists Head (O&M) consistent available against number 1 years
Incident Investigation (Operations) Specific Isolation List number & specific JSA
Documentation Isolation plans of equipment
Reports number to be attached

Specific Job Safety Head (Maint,)

Head (O&M) Number of JSA/MS SFW 160 SPECIFIC JSA AND MS STATUS
1.6 Analysis (JSA) /Method Or
(or) Job Plans, Incident available against number Table of equipment with specific Job Plan number,
Safety Statements for Zero incidents Head(of 1 year
Head (Project Investigation Reports job plans/no. of critical specific Isolation List number & specific JSA
Documentation maintenance & high risk respective
erection/project activities number to be attached
project activities Package)
SFW 210 WORKERS TRAINING ON HAZARDS
Safer
2.1 Safety Risk Worker Awareness of workplace, No. of Training Site Safety Training records of workers on safe work procedure
HOS Safety Framework Monthly training to be attached. Every dept. that has
Management relevant Hazards Reduced programs/Tool Box Talks Coordinator
incidents outsourced workers shall ensure, workers are able
to tell main dangers in their work.
 Process Monitoring Next
# Element Process Title Input Output Process Measures / KPIs Frequency SAP Short Text / Expected Action
Owner Accountability Due

Worker SFW 210 WORKER TRAINING TOOL BOX TALKS

2.1 Safety Risk Safer workplace, No. of Training Site Safety
Awareness of HOS Safety Framework Monthly List of tool box talks done during the period to be
Management Reduced incidents programs/Tool Box Talks Coordinator
relevant Hazards attached.

Safety Meeting Minutes, SFW 240 INCIDENT RECALL TOOL BOX TALKS
2.4 Indent Recall at Incident data & Case studies, Site Safety
HOS Case studies, Tool box Monthly List of Incident based Tool box talks shared with
Incident Recall Site Level reports Patterns Coordinator
talks workers to be uploaded

3.2 % dept. assessment/audits SFW 320 DEPARTMENT SELF AUDIT STATUS

3.2.2 Safety Schedule for Annual schedule
Safety completed in time Site Safety Departmental Self Audit scheduled vs completed with
Reviews by HOS Functions Safety for functional Monthly
Performance % dept. assessment/audit Coordinator List of NCs and completion dates to be
Functions Reviews safety reviews
Monitoring findings closed attached/recorded
SFW 340 OPERATIONAL SIMULATIONS STATUS
Managing
3.4 Control of risks of
temporary At least
Management of Head (O&M) Change requests changes to % simulations closed HOS-Operations Status of plant simulations to be recorded. Reason &
changes to Weekly
Change system authority to for the simulation in place shall be
systems
explicitly mentioned.
Contract documents Site induction
3.6 Site induction process
Post-placement HOS / Area & Hazards/risks & Relevant work
Contracts Area Engineer Quarterly Included in:
of contract Engineer associated with training program
control Training records
work for Contractors SFW 210 WORKERS TRAINING ON HAZARDS
Awareness of
contracts risks % completed site safety SFW 360 CONTRACTOR SAFETY ASSESSMENTS
3.6 assessments of contractors
Post-placement HOS / Area Site Safety Contractor assessment scheduled vs completed with
Contracts Contract documents Schedule for Quarterly
of contract Engineer Coordinator List of violations incl. at-risk behavior and actions
control safety Contractor related
assessments for incidents taken to be attached/recorded.
contractors
SFW 412 WORKER SAFE WORK METHOD TRAINING
% of training programs /
Improved tool box talks completed Annual worker safety & health competence
Site Safety improvement/refresher training plan to be attached &
4.1.2 Training Job/task training HOS Competency matrix awareness among % workers trained in Monthly
Coordinator updated with training program records updated with
contractors job/task & refresher
details like topic, attendees & trainer. Worker should
training
be able to tell work related hazards & precautions.
 CONSOLIDATED PERFORMANCE MEASURES FOR: Site Safety Coordinator

Process Process Measures / Monitoring Next

# Element Process Title Input Output Frequency SAP Short Text / Expected Action
Owner KPIs Accountability Due

Emergency
1.4 SFW 140 PROJECT MOCK DRILL STATUS
Emergency preparedness
Emergency Site Safety On-site Emergency Region Safety
Management No. of mock drills 6-months Mock drill schedule with report on observations,
Response Coordinator plan Coordinator
Plan & findings in points for improvement to be attached.
Planning
mock drills

1.4 SFW 140 EMERGENCY PLAN AWARENESS TRNG

Emergency Emergency Plan & Training programs,
Emergency Site Safety Trained Team Site Safety
Management Findings in mock mock drill 1 year EMP/DMP awareness training program records to
Response Coordinator Members Coordinator
Plan training drills performance be recorded/attached.
Planning

% Safety Plans in Included in: SFW 150 PROJECT SAFETY PLANS

1.5 Safety Objectives place for Departments
List of Safety Site Safety Annual Safety Plans for the Project department-
Safety Plans HOD for the year for 1 year
Safety Plans Plans & Programs % Completion of Coordinator wise with progress % Completion of safety plan
sites
safety plan targets targets to be uploaded

Included in:
Data and %incidents
Monitoring Improved
3.2.6 Reactive Site Safety information on communicated in the Site Safety SFW PROJECT INCIDENT REPORT CIRCULATION
safety & health awareness at site Monthly
Measures Coordinator incidents from sites to staff & Coordinator
incidents of risks List of incidents and dates of communication to
central system workmen
staff & workers to be recorded/attached/linked.

Analysis of Data & informal Identified focus areas Analysis of site incidents with respect to type, area
3.2.7 Analysis Site Safety Refresher Training Site Safety
data & feedback from staff for safety & health Quarterly and number of repeat incidents to be compiled
of data Coordinator programs Coordinator
reporting & contractors training and reported to Regional Office.

SFW 422 VISTORS COMMUNICATIONS STATUS

Improved No. of signs/boards in
4.2.2 Communication Site Safety Incidents, Audits Site Safety Availability & PM status of visitor related
awareness among common paths used 6-monthly
Communication with Visitors Coordinator etc. Coordinator communication like billboards, posters to be
Visitors by visitors
updated.

Included in: SFW 210 WORKERS TRAINING ON

4.3 Health & Safety Improved % Awareness HAZARDS
Site safety Site Safety
Awareness awareness Safety framework awareness among programs completed Quarterly Schedule of safety promotional programs and their
Coordinator Coordinator
programs programs staff, contractors against scheduled status is to be recorded, updated. % programs
completed against scheduled to be recorded.

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