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Electrical Safety Audit (ESA)

What & When and Why & How of it.
For
Electrical Risk Management
By
Dr. A. M. Salsingikar,
Ph.D.

Chartered Engineer

&

Accredited Electrical Safety and Energy

Auditor
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A) What & Why of ESA

With electricity having become an indispensable part of our

life, electrical risks during operation and maintenance of
electrical system are to be managed effectively.
Electrical hazards continue to threaten safety of people and
property in the form of shocks, injury, burns, fire and
explosion.
In process industries, fires of electrical origin are very
probable, especially while handling flammable chemicals. In
service industries such as IT, Telecom sector etc. business
interruption losses due to electrical hazards (fire in server
room, damage of expensive communication equipment, loss
of data, fire in cable gallery, etc.) could be substantial.
Identifying potential electrical hazards to prevent or
minimize loss of life and property is best perceived through
Electrical Safety Audits. Electrical safety audit assists in
identifying loop holes & non conformities in the plant
electrical system and recommend ways and means to
ensure electrical safety. Identified potential electrical
hazards during the audit when instantly eliminated or
reduced would ensure human and plant safety of human
and plant equipment and building.
Every installation is required to adopt proper safety
measures which can avoid or restrict number of accidents.
Electrical safety audit is adopted to effectively establish a
sound Safety system in plant.
A well conducted audit report will assist management in
formulating Emergency Preparedness Plan.
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Safety audits are carried out due to various reasons such

as:
1. Statutory requirement (environmental concerns, Risk
Analysis for hazardous industries, etc.)
2. Requirement of financial institution (for loans, etc.)
3. Suggestion of an regulatory authorities
4. Process change / plant capacity addition
5. Change of management (Merger / Acquisition)
6. Genuine management concern as a measure of
improvement
7. Part of OH& S (Occupational Health & Safety) policy of the
organization
8. Major accident in the plant / major accident in the
neighboring industry / major accident in a similar industry
9. Requirement of foreign partner
Identifying potential electrical hazards to prevent or
minimize loss of life and property is best perceived through
Electrical Safety Audits.
A well planned audit would provide the following
benefits:
Identification of flaws in the existing safety system.
Identification and elimination of safety hazards
Improvement of employee morale
Improvement of management awareness of problems
Enhancement of employee / employer relations
Premature failures are effectively minimized.
Unexpected outages can be minimized ensuring continues
power supply to the end user.
Assisting in the management of Electrical risk
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Please see a detailed note about

Electrical Risk Management in the
Annexure
Electrical Safety Audit Types:
Electrical Safety audit generally falls into the following three
main types:

Statutory Audit.
Human Safety Audit
Equipment Safety Audit.

Statutory Audit.

It involves review of the statutory documents for

compliance such as:

- Govt. Electrical Inspection report

- Earth resistance test report of individual earth pit earthing
grid network and lightning arrestors.
- Statutory clearance for installation of equipment
- Provision of electrical shock treatment chart, fire buckets,
first aid boxes etc.
- Compliance of electrical system with Indian Electricity rules,
acts and TAC recommendations
- Insulation Resistance of electrical installation
- Transformer oil test report
- H.T. circuit breaker test report
- Protection relay test report
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- Preventive Maintenance reports

- List of Authorized Persons to work on electricity
- Details of the Licensed electrical contractors engaged.
- Electrical Single Line diagrams with Name plate details of
electrical equipment
- Staff training in Electrical Safety & First Aid report
- Electrical Accident report
- Safe operating procedures & Work Instructions
- Hazardous Area classification report, if applicable.

Human Safety Audit: It involves:

Provision of Earthing of Electrical Equipment

Earth leakage protection devices (ELCB's)
Lightning protection system and equipments
Grounding of electrical equipment as a source
Fire fighting and Fire alarm system
Protective guards for all rotating equipment
Illumination level in various working areas as per standard.

Equipment Safety Audit: It involves:

Schedule of maintenance and calibration of over current,

earth fault, overload and other protection relays
Insulation Resistance measurement of electrical equipment
Critical spares inventory
Schedule of measurement of hot spots in switchyard
connection, bus-bar joints and equipment connected with
non linear loads.
Control system voltage measurement, battery, battery
chargers and associated sensing devices
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Maintenance schedule of electrical equipment Alarm

annunciation system.

Main aim of the ES audit is identification and assessment of

electrical hazards and offer suitable recommendations for
their elimination or minimization.
Electrical safety audit thus would help identify potential
electrical hazards which when eliminated or reduced, would
improve human and plant safety.
In general, safety audit examines and assesses all aspects
of facility including managements policy, philosophy,
processes, operating procedures, safety organization,
documentation, personal protective equipment, equipment
protection systems, safety training and motivation.
Electrical Safety Audit is conducted to highlight the
deficiencies in the present electrical system and to
recommend ways and means to ensure electrical safety of
the personnel and of plant equipments. The audit can be
used to ensure that the plant and its O & M practices match
the design intent and construction standards.

Elements of audit:
Electrical safety audit basically looks into the details of
electrical safety aspects of personnel and equipment
prevailing in the plant. It reviews O & M practice followed in
the plant, vis--vis fault levels. During the process of
auditing investigation reports of electrical accidents are
studied and commented upon.
Electrical safety audit thus would help identify potential
electrical hazards which when eliminated or reduced, would
improve human and plant safety.
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ESA Programme can be broadly classified into 3 major areas

namely:
1. Pre-Audit
2. Audit
3. Post-Audit
The efficacy of the audit (identification & control of electrical
risks) largely depends on the pre-audit and the post-audit
sections. Pre and post audit elements are user / client
dependent and obviously the audit depends on the audit
team. Unless the ESA objectives are clearly defined and
audit recommendations considered, the ESA programme will
not be successful.

An effective ESA programme should include competent audit

team formation, pre-audit briefing, collection & review of
relevant information (preventive maintenance
documentation, accident reports, electrical inspectors
reports, history cards), discussion with safety & electrical
officers, plant visit and then the consolidation to the top
management. Main aim of the ES audit is identification and
assessment of electrical hazards in the plant and offer
suitable recommendations for their elimination or at least
minimization.

Main Elements of ESA are as under:

Application of statutory Provisions of IE Act and IE Rules.
Conformance with the relevant IS Specifications and Code of
Practice
Adequacy of Earthing and bonding in the plant.
Condition monitoring of equipment.
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Hot spots developed and their elimination

Hazardous Area Classification.(If applicable)
Safe Operating practices and documentation of Work
instructions.
Effectiveness of PTW Effectiveness of LOTO system
First Aid training provided.
Identified safety training needs & Safety training provided.
Adequacy of earthing system, ratings of CB and fuses, Relay
and Protection system rating of cables and electrical
equipments vis-vis Plant fault levels.
Routine Maintenance and testing done on electrical
equipment.
Preventive maintenance practices.
Adequacy of electrical equip and cables commensurate with
the Plant fault Levels.
Adequacy of the lightning protection system
Identification of static electricity hazards
Review of electrical accidents & preventive measures taken.

AUDIT OBJECTIVES (General):

- To ensure safety of personnel & property arising due to
unforeseen circumstances viz. fire due to electrical short
circuit.
- To review electrical system to identify single point of failure
that would lead to disruption of process.
- To review statutory compliances as regards electrical tests
and maintenance.
- To determine the effectiveness of the companys safety and
loss prevention measures
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AUDIT OBJECTIVES (Specific):

1. To verify the compliance of statutes through:

Physical inspection of the plant with reference to applicable

Indian Standards, Indian Electricity Rules and other relevant
codes of Practice.
Identifying electrical hazards (shocks, fires, etc.).
System installations including Protective schemes, classified
locations, conductor sizing, transformer sizing, grounding,
among others are inspected and compared to the NEC, IE
Rules, IS Codes of Practice etc
2.To examine the safety procedures in Operation and
Maintenance activities.
3.To suggest ways & means to improve safety performance.
Detailed Scope of Electrical Safety Audit:
From the foregoing, the scope of Electrical Safety Audit is
narrowed down as under:
To discuss with the senior management the purpose of the
audit.
To visit the Plant and get the reality check. I take the review
of related equipments / products used, consumption,
procedures, safety aspects, statutory status, loss records,
training needs etc. I also cross verify the details against the
historical records maintained in the plant.
To ascertain the importance given to electrical safety in the
total safety system.
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B) When of ESA

Electrical safety audits should be initiated

Whenever there are capacity additions & major alterations
in the electrical system,
If frequent electrical accidents are happening.
Any process change in the plant that may require a re-look
at the electrical installations in the changed process section.
Periodicity of Electrical Safety Audits
Audit frequency will depend on the nature and type of
activities within each area of operation.
A reasonable general guide is that audits be carried out
once each year, with more frequent inspections for specific
areas or activities. Records of injury and damage accidents
should be examined and used to identify high-risk areas
and activities and consequently those needing more
frequent inspection.
As a general thumb rule, audits by external agencies are
carried out every two years and the internal team does the
audit every year.

C) How of ESA:
Conducting energy audit through electrical safety
system audit
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Before undertaking Energy Audit it is necessary to conduct

electrical safety system audit of the plant to identify the
non conformities in respect of electrical energy utilization.
Electrical safety system audit is a diagnostic tool, which is used
to assess and evaluate the state of electrical activities in a
workplace. It is also used to provide information on the
effectiveness of energy loss prevention activities undertaken in
the plant and to indicate those areas where action needs to be
taken to reduce worker exposures to unidentified hazardous
conditions prevailing in the plant machinery and substances.
The major objective of this audit is to determine the
effectiveness of the plants safety and energy loss
prevention measures undertaken in the plant.
Electrical safety system audit is, thus, a systematic approach to
evaluate potential hazards and to recommend suggestions for
their mitigation and to identify the effectiveness of the current
energy management practices undertaken in the plant. It is an
important tool for identifying deterioration of standards, areas
of risks or vulnerability, hazards and potential accidents in
plants for determining necessary action to minimize hazards
and for ensuring that the whole effort is effective & meaningful
from the point of view of safety and energy management.
The Indian Electricity Rules,1956 and Factories Act, 1948
makes the owner / occupier responsible for providing a safe
working environment for the employees. Electrical safety
system audit is one method of evaluating the safe environment
provided in the plant.
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A well-conducted electrical safety system audit provides the

platform to the management to undertake regular energy
saving and safety programs. It provides a host of tangible and
intangible benefits such as:
Identification and elimination of safety hazards
Improvement of employee morale
Development of a dynamic record of safety performance
Creation of positive cycle of energy conservation.
Improvement of management awareness of problems

Enhancement of employee / employer relations Audit

Modus operandi:
The State-of-the-Art methodology for conducting electrical
safety system audit whereby hidden non conformities (NCs)
pertaining to activities of plant electrification are first searched
and brought to the surface. They are excluded from the scope
of energy audit until they are closed by proper rectification
process undertaken in the plant.
It is rather a prerequisite that the plant electrical system audit
be conducted before conducting detailed energy audit. This
approach is beneficial as explained below:
As a first step towards addressing the issues pertaining to
energy management in the plant, it is almost necessary that
we first carry out Electrical safety system audit of the plant
before undertaking a detailed Energy audit to reveal the
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hidden non conformities in respect of supply and utilization of

electric supply.
These non conformities are then treated successfully and
closed by the client and then we conduct detailed energy audit.
This is very important in knowing whether plant electrical
system is based on a sound foundation in terms of safety of
equipment and personal, adequacy of protection system
commensurate with the fault levels etc.

A Word of caution:
If an Energy Audit is conducted without identifying the non
conformities in the utilization of plant electrical supply through
Electrical Safety System Audit then the results and findings of
the Energy Audit will not be fruitful but in fact, they will be
misleading and unreliable and will be difficult to implement.

General Scope of Electrical Safety System Audit:

A)Hold an Opening meeting with the plant senior management to
discuss the aims of the audit and our modus operandi.
B)Visit the Plant and get the reality check. During this visit we
take the review of related equipments / products used, energy
consumption, procedures, safety aspects, statutory status, loss
records, training needs etc. We also cross verify the details
against the historical records maintained in the plant.
C)Identify the main energy consuming areas/plant items and to
collect data on plant energy resources & major energy
consuming centers.
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Specifically carry out the following

reviews:
1. Electrical System installations are reviewed for the Statutory
Compliance in respect of the Protective schemes, classified
locations, conductor sizing, transformer sizing, grounding,
and many other items are inspected and compared to the
NEC, IE Rules, IS Codes of practice etc.
2. Physical inspection to identify electrical hazards.
3. Review of plant lightning protection system (need,
adequacy, installation and maintenance)
4. Identification of static electricity hazards in the plant
operations
5. Review of electrical accidents and near misses in the plant
to identify the root causes of trouble.
6. Review of electrical systems & procedures (work permits,
interlocks, lockout tags, etc.)
7. Cable audit:
A)Assessing the integrity of insulation of cables by carrying
out insulation resistance tests.
B)Verification of insulation strength, capacity, and actual
load on cables.
C)Verification of joints in between and end terminations
8. Review of the earthing system (installation & maintenance
aspects) in the plant based on IS 3043.
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9. Identify areas of overloading by carrying out load current

measurements and comparing against transformer capacity
and cable current carrying capacity calculation
10. Review of protection devices and systems provided in
the electrical installation.
11. Review of existing short circuit fault levels vis--vis the
adequacy of existing earthing system, circuit breaking
capacity of fuses and circuit breakers and relay settings.
12. Review of adequacy of the capacities of the
transformers, cables, motors, etc. based on actual load
current measurements and cable current carrying
capacities.
13. Review of the hazardous area classification carried out
in the plant as per IS: 5572 and to review the selection,
installation of special electrical equipment as per IS: 5571
( if applicable).
14. Review the EPM (Electrical Preventive Maintenance)
programme in the plant and to examine the documentation,
checklists, work permit, test records, etc.
15. Review of the plant earthing system installation layout
and its maintenance.
16. Review the identified safety training needs of the plant
employees.
17. Review of record of hot spots developed and their
elimination

18. Review of the following test records, evaluating the test

results and to suggest recommendations as per applicable
standards.
a. Transformer oil test.
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b. Insulation Resistance Tests.

c. Earth Resistance tests.

19. Review the importance given to electrical safety in the

total safety system
In general, safety audit examines and assesses all aspects of
facility including managements policy, philosophy, processes,
operating procedures, safety organization, documentation,
personal protective equipment, equipment protection systems,
safety training and motivation. It thus involves identification
and assessment of electrical hazards and offer suitable
recommendations for their elimination or minimization.

Audit Process
1.Electrical safety audit is accomplished in a logical series of
steps starting at the plant or facility.
2.Perform a series of onsite interviews with operations,
maintenance & safety personnel to determine the existence
and availability of procedures, documentation, safety training,
safety equipment, and other such critical safety-related items.
3. Management and employee questionnaires are administered
for audit analysis.
4. A physical walk-through is performed to inspect all electrical
system and equipment. This activity takes about three days
depending upon the plant size. The walk-through is
documented with digital photographs.
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5. The visit ends up in an exit meeting at which time provide an

overview of the findings including any life threatening hazards
and code violations. The audio-visual presentation is made in
this meeting.
6. There after produce a detailed, comprehensive report which
documents all of our findings and includes our
recommendations for improving your electrical-safety program.
To sum up, help the client to manage the electrical hazard risks
effectively by assisting in developing the safety culture in the
plant through electrical safety audit, electrical system studies
and the electrical safety training at his door steps.
Electrical Safety Audit Questionnaire
The questionnaire is a vital tool for successful inspection and
time spent on its preparation is as valuable as that taken by
the audit itself. Auditing experience will reveal the need for
supplementing or modifying it, provided that the auditors
adopt a flexible approach to their task, and the danger of
confining attention only to those matters listed in the original
questionnaire must be avoided.
The details that would help the audit team (especially in case
of external audit) will be included in the pre-audit
questionnaire. Although the generic details will be made
available to the audit agency in the initial stages, the specific
details would help the team to prepare themselves to carry out
the safety audit in an efficient manner.
The pre-audit questionnaire for ESA could include the following
aspects:
Process details
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Electrical Single Line Diagram

Name plate details of major electrical equipment
Details of classified zones in the plant
Details of flammable chemicals handled in the plant
Details of electrical accidents in the plant
Details of addition / expansion of the plant including
electrical installation
Overview of electrical maintenance system

ESA checklists
Checklists can be made with reference to:
Statutory Regulations
Non-Statutory Standards (national and international)
It could be prepared based on various applicable statutory and
nonstatutory standards and codes of practice. Good
engineering practice found during other ES audits in similar
installations can also be included in the checklists.
International standards such as IEEE and NFPA can also
referred wherever found necessary. Another important aspect
in referring to various standards is the possible confusion in
reconciling a safety recommendation. The factors listed below
are to be considered while suggesting a recommendation, if
contradicting statements are mentioned in rules / standards.
Compliance to statutory requirements
Safety of the people and the plant
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Non-Statutory Standards (national and international)

The experience gained by the ESA team members is a very
crucial factor in the compilation of audit checklists.
Experienced and competent team members can offer many
practical, cost-effective safety suggestions and solutions.
The checklists could contain the following sections for
specific checks:
Grouping the observations in the following manner helps to
identify and evaluate the areas of concern. Another way of
categorization is having the checkpoints grouped under various
plant sections / areas, which is the popular method. An
advantage of this popular method is that a process section /
unit in-charge can be asked to comply with the
recommendations by giving a copy of the report section to him.
But for the management to understand the efficacy of the
various electrical safety elements, the grouping as indicated
below will be of use. This way of grouping enables the
consolidation exercise more effective.

A few important matters:

With the companys consent, opening meeting will be held to
explain the methodology of ESA. The client is free to invite the
participants from its organization to get acquainted with ESA.
1 To formulate ESA team for clients representation in ESA.
2 The review of the existing entire electrical and lightning
protection systems in the premises by visiting the facility as
per the applicable Indian electricity acts & rules, various
standards e.g. IS: 2309, IS 5216 and
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NFPA 780 and recommending corrective measures wherever

necessary.
The digital snaps of the unsafe conditions will be taken with
prior Management approval.
3 Generally in ESAs, the main areas are sub-station, main
power transformer, distribution transformers, Power Control
Center room, Motor Control Center, Lighting panel,
Distribution Boards, critical motors, D.G. sets, general
condition of electrical cabling and wiring, etc. are inspected.

Do This
i) At the outset, there will be an Opening meeting with
Heads of Departments and other Senior Executives.
ii) Study of relevant documents such as those pertaining
to safety procedures & systems in the Areas/Sub-areas
covered under the Scope.
iii) Discussions/Interviews with key personnel at
various levels.
iv) Physical inspections of plant & conducting
necessary tests in the presence of plant engineer.
v) On the last day of our visit there will be a Closing
meeting with the senior executives along with a power-
point presentation of our major findings and critical
observations.
vi) Draft & Final Report submission.
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Deliverables
A detailed well-written report containing audit findings and the
recommendations in compliance with approved practices like
Indian Electricity Acts & Rules, National Electrical Code, and
NFPA 780 & IS 2309, IS 5216 etc. will be submitted within 3
weeks to improve electrical safety. A soft copy of the draft to
be submitted for clients comments.
a) Submission of a Draft audit Report on the audit findings (in
soft copy form) containing specific observations in respect of
the following:
1. Condition of the Installed electrical equipment and
wiring systems.
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