HSE MS Audit / Review Document List

Use 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 OU web site
1. LEADERSHIP AND COMMITMENT
1 Visibility / Procedure / checklist for management inspections
Management Inspection Visit reports
Minutes of meetings with contractors
Reference to HSE topics in company meetings and in company publications
Awards & recognition events for HSE performance
Speeches / papers / publications on HSE related topics by company personnel in public domain
2 Proactive in target setting / Procedure for developing HSE objectives, targets and plans
OU Business Plan, 2000-2005
Examples of HSE Tasks and Targets in staff appraisals
3 Informed involvement / Minutes of HSE Committee meetings
Minutes of incident reviews
Minutes of formal HSE MS Management Reviews
2. POLICY AND STRATEGIC OBJECTIVES
4 Content / HSE Policy
Daughter HSE Policies
Joint Venture Statement
Contractors HSE policies
5 Dissemination / Registers of induction training or personal passport system
Staff induction procedures
6 Strategic Objectives / HSE Targets 2000 and 4 years thereafter (corporate and business unit)
Sustainable Development Strategy statements/action plan.
Strategy for application of Group Security Policy
Strategy for application of Group Biodiversity Policy
3. ORGANISATION, RESPONSIBILITIES, RESOURCES, STANDARDS AND DOCUMENTS
7 Roles & responsibilities / Corporate and BU Organisation (Organograms),
Catalogue of HSE Critical Activities and relevant Job Descriptions including HSE responsibilities
8 HSE Advisors / Roles and Responsibilities for HSE advisers and HSE Focal Points (FP)
Competence requirements for HSE advisors and HSE FPs
HSE focal point structure
9 Resourcing / Minimum acceptable resourcing levels for HSE critical activities (manning philosophy)
Leave schedules/rotas
Any relevant resourcing studies
10 Competency Assurance / Company competence assurance system procedure
Competence assurance system records for OU staff performing HSE critical activities
Competence assurance system records for all contractor staff who undertake HSE critical activities.
11 Contractors / Contractor HSE management procedures
Register of contractors, pre qualified to carry out company work
Records of contractor performance on existing and previous company contracts
Model and specific HSE contract clauses
Contracting and Tender Board Procedures
Minutes of Tender Board meetings
Minutes of project planning meetings with Contractor
Past contractor performance data
12 Communication / Procedure for internal communication and reporting
Procedure for managing external communications
Overview of meeting types, frequency, participants, objectives
HSE Meeting Minutes
Incentive and suggestion scheme
Register of public complaints
Register of suggestions for improvement
Contractor HSE meeting structure and example minutes
13 HSE MS Manual / HSE Manual(s), Parts 1 - 5 for Corporate and BU(s)
Legislative requirements-including procedures for identification and disseminating them.
Bridging documents (or equivalent) between HSE MS (Corporate or BU) and contractors.
Documentation and documentation management procedure
Web management and control procedures
14 HSE Case / Specification for selection of facilities and operations requiring HSE Case
HSE Case documents
4. HAZARD AND EFFECTS MANAGEMENT
15 Identification / HRA for sites and BU activities/ services, job type.
EA and EIAs
SIA
Sample of HAZOPS / HAZIDS
16 Assessment / Inventory/Register of HSE Hazards, Effects and Aspects for each BU / site ranked using the risk matrix
ISO 14001 gap analysis
17 Controls - and ownership. / See HSE Case(s)and HSE MS(s)
18 Performance in maintaining controls / Performance Indicators for emergency response times and records of actual performance under test or real activation.
Testing / maintenance of HSE critical equipment
19 Recovery / Listing of HSE procedures and parties responsible for the procedures
Emergency response procedures:
Medical, Oil Spill, SAR, Adverse Weather etc.
20 Recording / Manual of Permitted Operations
Records of close-out of recommendations and actions arising from hazard and aspects analyses and reviews.
5. PLANNING AND PROCEDURES
21 HSE Plan / Procedure for the development of HSE plans
Corporate, business, asset and departmental HSE plans
Contractors’ HSE plans
22 Asset Integrity / Operations Philosophy
Company design and engineering practices
Design Philosophy
General Layout Drawings
Process Flow scheme
Asset reference plans
Specifications (for piping and major equipment)
Development Plan (showing planned extensions, modifications & remedial actions)
Maintenance Plan
Alarm and Shutdown Matrix
Hazardous Area Classification Drawings
P&ID as-built updating procedures
23 Procedures & work instructions / Register of HSE procedures (Part 3 of HSE Manual)
List of procedures and work instructions for ‘Operational Control’
24 Contingency planning and External Planning / Crisis Management Procedures
Crisis and Emergency Response directory
Records of emergency drills and follow up
Emergency response interface documents with outside organisations and response equipment
6. IMPLEMENTATION AND MONITORING
25 Performance Monitoring / Most recent HSE plan progress reports (actual performance against targets)
Records of supervisor inspections
Records of near miss, unsafe acts and conditions reports and analyses reports
26 Records / Procedure for HSE Data Reporting and Record Keeping
27 Non compliance & corrective Action / Procedures for non-conformance and Legal Compliance Monitoring
Register of legislative non-compliance and status
Register of non-conformances, corrective action and status
28 Incident Reporting & follow up. / Incident Reporting and Investigation Procedures
Medium for lateral dissemination of lessons learned.
Incident investigation reports and analyses
Register of follow up on actions arising from incident investigations
29 Change Control / Change Management Control procedure
Change Management Procedure (e.g. design, construction, operation, inspection and maintenance)
Variance Control Procedure (deviation from company supported standards)
Variance Control Register (deviation from codes and standards)
7. AUDIT
30 Audit plan / OU / business unit audit procedures including audit tracking procedure / system(s)
Audit plan or programme
Audit reports, OU and SIEP-led
Minutes of Internal Audit Committee (IAC) meetings
Audit findings and action status reports
31 Competency / Register of approved auditors
Competency requirements for audit team members
Auditor training records
32 Contractor / Contractor audit procedures
Contractor audit plans
Audit reports, findings and action status reports
8. MANAGEMENT REVIEW
33 General / Procedure for preparation and validation of the HSE Annual Letter
Procedure for completion of HSE MS self assessment questionnaire
Most recent HSE Annual Letter of Assurance
Plans for HSE MS reviews and records of reviews held in last year

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