h Sems Audit Review

8/20/2019 h Sems Audit Review

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HSE MS Audit / Review Document ListUse na: for item applicable to audit scope or highlight the items required.

HSE MS sub element HSE documentation required relevant to the

audit/review scope

HTML hyper link to the relevant

page of ! web site

1. LEADERSHIP AND COMMITMENT

" Visibility Procedure / checklist for management inspections

Management Inspection Visit reports

Minutes of meetings with contractors

eference to !"# topics in company meetings andin company publications

$wards % recognition e&ents for !"# performance

"peeches / papers / publications on !"# relatedtopics by company personnel in public domain

# Proacti&e in target

setting

Procedure for de&eloping !"# ob'ecti&es( targets

and plans

)U *usiness Plan( +,,,-+,,

#amples of !"# 0asks and 0argets in staffappraisals

$ Informedin&ol&ement

Minutes of !"# 1ommittee meetings

Minutes of incident re&iews

Minutes of formal !"# M" Management e&iews

2. POLIC AND STRATE!IC O"#ECTI$ES

% 1ontent !"# Policy

2aughter !"# Policies

3oint Venture "tatement

1ontractors !"# policies

& 2issemination egisters of induction training or personal passportsystem

"taff induction procedures

' "trategic )b'ecti&es !"# 0argets +,,, and 4 years thereafter 5corporateand business unit6

"ustainable 2e&elopment "trategystatements/action plan.

"trategy for application of 7roup "ecurity Policy

"trategy for application of 7roup *iodi&ersity

Policy

%. OR!ANISATION& RESPONSI"ILITIES& RESO'RCES& STANDARDS AND DOC'MENTS

( oles %responsibilities

1orporate and *U )rganisation 5)rganograms6(

1atalogue of !"# 1ritical $cti&ities and rele&ant3ob 2escriptions including !"# responsibilities

) !"# $d&isors oles and esponsibilities for !"# ad&isers and!"# 8ocal Points 58P6

1ompetence requirements for !"# ad&isors and!"# 8Ps

!"# focal point structure

* esourcing Minimum acceptable resourcing le&els for !"#critical acti&ities 5manning philosophy6

9ea&e schedules/rotas

1



$ny rele&ant resourcing studies

"+ 1ompetency$ssurance

1ompany competence assurance system procedure

1ompetence assurance system records for )U staff performing !"# critical acti&ities

1ompetence assurance system records for allcontractor staff who undertake !"# critical

acti&ities.

"" 1ontractors 1ontractor !"# management procedures

egister of contractors( pre qualified to carry outcompany work

ecords of contractor performance on eisting and pre&ious company contracts

Model and specific !"# contract clauses

1ontracting and 0ender *oard Procedures

Minutes of 0ender *oard meetings

Minutes of pro'ect planning meetings with1ontractor

Past contractor performance data"# 1ommunication Procedure for internal communication and reporting

Procedure for managing eternal communications

)&er&iew of meeting types( frequency( participants( ob'ecti&es

!"# Meeting Minutes

Incenti&e and suggestion scheme

egister of public complaints

egister of suggestions for impro&ement

1ontractor !"# meeting structure and eampleminutes

"$ !"# M" Manual !"# Manual5s6( Parts - for 1orporate and *U5s6

9egislati&e requirements-including procedures for

identification and disseminating them.

*ridging documents 5or equi&alent6 between !"#M" 51orporate or *U6 and contractors.

2ocumentation and documentation management procedure

;eb management and control procedures

"% !"# 1ase "pecification for selection of facilities andoperations requiring !"# 1ase

!"# 1ase documents

(. HA)ARD AND E**ECTS MANA!EMENT

"& Identification !$ for sites and *U acti&ities/ ser&ices( 'ob type.

#$ and #I$s

"I$

"ample of !$<)P" / !$<I2"

"' $ssessment In&entory/egister of !"# !a=ards( #ffects and$spects for each *U / site ranked using the risk

matri

I") 4,, gap analysis

"( 1ontrols - andownership. "ee !"# 1ase5s6and !"# M"5s6

2



") Performance inmaintainingcontrols

Performance Indicators for emergency responsetimes and records of actual performance under testor real acti&ation.

0esting / maintenance of !"# critical equipment

"* eco&ery 9isting of !"# procedures and parties responsiblefor the procedures

#mergency response procedures:Medical( )il "pill( "$( $d&erse ;eather etc.

#+ ecording Manual of Permitted )perations

ecords of close-out of recommendations andactions arising from ha=ard and aspects analysesand re&iews.

+. PLANNIN! AND PROCED'RES

#" !"# Plan Procedure for the de&elopment of !"# plans

1orporate( business( asset and departmental !"# plans

1ontractors> !"# plans## $sset Integrity )perations Philosophy

1ompany design and engineering practices

2esign Philosophy

7eneral 9ayout 2rawings

Process 8low scheme

$sset reference plans

"pecifications 5for piping and ma'or equipment6

2e&elopment Plan 5showing planned etensions(modifications % remedial actions6

Maintenance Plan

$larm and "hutdown Matri

!a=ardous $rea 1lassification 2rawings

P%I2 as-built updating procedures

#$ Procedures % workinstructions

egister of !"# procedures 5Part ? of !"#Manual6

9ist of procedures and work instructions for@)perational 1ontrol>

#% 1ontingency planning and#ternal Planning

1risis Management Procedures

1risis and #mergency esponse directory

ecords of emergency drills and follow up#mergency response interface documents withoutside organisations and response equipment

,. IMPLEMENTATION AND MONITORIN!

#& PerformanceMonitoring

Most recent !"# plan progress reports 5actual performance against targets6

ecords of super&isor inspections

ecords of near miss( unsafe acts and conditionsreports and analyses reports

#' ecords Procedure for !"# 2ata eporting and ecord

Aeeping

3



#( Bon compliance %correcti&e $ction

Procedures for non-conformance and 9egal1ompliance Monitoring

egister of legislati&e non-compliance and status

egister of non-conformances( correcti&e actionand status

#) Incident eporting

% follow up.

Incident eporting and In&estigation Procedures

Medium for lateral dissemination of lessonslearned.

Incident in&estigation reports and analyses

egister of follow up on actions arising fromincident in&estigations

#* 1hange 1ontrol 1hange Management 1ontrol procedure

1hange Management Procedure 5e.g. design(construction( operation( inspection andmaintenance6

Variance 1ontrol Procedure 5de&iation fromcompany supported standards6

Variance 1ontrol egister 5de&iation from codes

and standards6

-. A'DIT

$+ $udit plan )U / business unit audit procedures including audit

tracking procedure / system5s6

$udit plan or programme

$udit reports( )U and "I#P-led

Minutes of Internal $udit 1ommittee 5I$16meetings

$udit findings and action status reports

$" 1ompetency egister of appro&ed auditors1ompetency requirements for audit team members

$uditor training records

$# 1ontractor 1ontractor audit procedures

1ontractor audit plans

$udit reports( findings and action status reports

. MANA!EMENT RE$IE

$$ 7eneral Procedure for preparation and &alidation of the!"# $nnual 9etter

Procedure for completion of !"# M" selfassessment questionnaire

Most recent !"# $nnual 9etter of $ssurance

Plans for !"# M" re&iews and records of re&iewsheld in last year

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Documents

h Sems Audit Review