HSE_BN_PD_39_ REV 01

Procedure for HSE Audit

Purpose
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Procedure for HSE Audit

 To determine whether the elements and activities of HSE Management System

conform to the planned arrangements and are being implemented effectively.
 To determine whether HSE Management System is fulfilling the company's HSE policy,
objectives and performance criteria.
 To determine whether HSE Management System complies with the
relevant legislative and regulatory requirements.
 To identify areas for improvement in HSE Management System, with the
aim of progressively improving the HSE Management System.
 To enable management to ensure that potential or actual flaws in the system are
addressed through effective Corrective Action / Preventive Action and follow-up.
Scope

All Project Sites, Country Offices, Head Quarters

Responsibility

HOD-HSED,
Procedure

Audit Type:

Type Audit Auditee Frequency

or
C1 Site HSE Manager of another Once in 6 months
project
Corporate HSE department
C2 Once in a year

Audit Team:

 Personnel on the audit team must be independent of the facility or process audited.
 Person conducting audit must be familiar with audit procedure and the facility to
be audited. Auditor must be competent as an auditor by virtue of his audit
experience and /or by training.
 The auditor or the audit team must be familiar with the audit procedure, the type
of audit, the scope of audit and have a broad knowledge of HSE matters
 Adequate independence from the activities being audited, to enable objectives
and impartial judgement.
 Operational experience in the area being audited.
 The necessary expertise and experience in auditing practices and discipline.
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Audit Findings
Audit findings / Non Conformities are classified according to the failure, severity and
closing action requirement.
Classification Action
Suspend all activities and take immediate corrective action
Serious -S before resuming normal work activity.
Violation of Legal requirement / client specifications. Action
High - H items which need immediate corrective action within 7 days
Noncompliance of contract HSE plan and HSE management system.
Medium - M Action items that need to be completed within 15 days.
Required for improvement listed as improvement point. Required to
Low - L be implemented within one month. Action items that need to be
completed within a specified time frame and will be reviewed during
follow-up audit or next audit.
Audit Procedure:

Action Responsibility

HSE Audit schedule Head of HSE

Draws out a half yearly audit plan which lists the sites, Country and
the scope of the audit.
Issue Audit Notification Auditor

Issue Audit Notification minimum before 10 working days of the actual

audit to the site in charge / HSEM and copies to HOD- HSE
Audit Checklist Auditor

Applicable Contract Management HSE Plan, Company Procedure and

guidelines can be directly used as checklist along with PM-00-OB as
applicable.
Audit Entry and Exit Meeting Auditor

The audit shall commence with an entry meeting defining the audit
criteria
Exit Meeting shall be conducted and the Non-conformances identified
shall be briefed to the auditee.
Issuing Non-Compliance Auditor

Non Compliances shall be issued at site to the concerned during audit

closing meeting - Format PM-00-NA and shall be subsequently listed in
a report.
Audit Report Auditor
The audit report shall be prepared listing all non-compliance,
observation, recommendation for improvement and good practices.

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The report will classify the non-compliance based on the severity and
close out duration requirements. The report will recommend the
required corrective action along with the significance.
The score sheet given as per format PM-00-OB is also attached with
the format.
Issuing Audit Report Auditor

The audit report as per procedure shall be prepared referring the

applicable standard and the preliminary report shall be issued to the
responsible Auditee viz. the in charge of the location.
A copy is send to the HOD – HSED &
Audit finding Close Out Auditee

Once the Corrective Action / Preventive Actions are implemented Project Manager
within the specified time, the auditee informs the HOD-HSE to close
out the NCs.
Verification of the Corrective Action / Preventive Actions implemented HOD – HSE
and their effectiveness either by himself or through an authorized source
or early by mail depending on the severity of non- conformance and if
found satisfied closes out the NCs.
Action Tracking and Closeout Data Site HSEM

Maintain all audit and inspection findings in separate data sheet in

format PM-00-NA and update on the monthly basis. Send copies of
this data sheet to the corporate HSE.
Performance Weightage Audit Performance Score (W)

Audit Performance Score Performance Classification

0- 25% Unsatisfactory
26-50% Just satisfactory
51- 60% Satisfactory
61-75% Good
76-90% V. Good
Above 90% Excellent
5.1 Unsatisfactory
 Total Non-compliance and it is characterized on the basis of above scoring process
and it reveals total collapse of contract HSE MS.
 Stop the project, give a warning letter to the Site in Charge & concerned staff and
still not improved substantial action to be taken on him by BU Head.
 If this happens Project Manager has to investigate this as a major incident following
Incident investigation procedure and take immediate corrective action. The report of
the investigation required within seven days of the audit report.

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 All corrective action must be closed within the specified time and notified to the
auditor who will subsequently conduct a follow up audit to measure the degree of
compliance and will recommend further course of action.
5.2 Just Satisfactory
 Stop the Project
 This outcome of the audit reveals only some paper work and site HSE standard need
immediate corrective action.
 Once the audit is characterized as this one, the concern Project Manager should
initiate investigation equivalent to Reportable lost time incident using the
investigation procedure. Investigation report required within fourteen days from the
audit report. Corrective action must be taken within the specified time which must
not be more than a month.
 All the investigation report and corrective action should be reported to the auditor
for tracking the corrective action.
5.3 Satisfactory
 Even though it is satisfactory to the extent that it does not reveal serious lapses but
once the audit finding reported as satisfactory, it shall be treated as equivalent to
the just satisfactory.
 Project Manager should initiate investigation equivalent to Reportable lost time
incident using the investigation procedure. Investigation report required within one
month from the audit report. Corrective action must be taken within the specified
time which must not be more than two months.
 All the investigation report and corrective action should be reported to the auditor
for tracking the corrective action.
5.4 Good
 Audit findings characterize as good will show that even though the site hazard
controls are satisfactory but shows a major non-compliance of HSE MS and requires
immediate corrective action.
 Required corrective action and improvement point need timely action. Must be
discussed in the management meeting and the site HSE Advisor has to provide audit
finding track data sheet.
5.5 Very Good
 Audit findings characterize as Very good will show the site hazard controls are good
but shows few major non-compliance of HSE MS and requires immediate corrective
action.
 Required corrective action and improvement point need timely action. Must be
discussed in the management meeting and the site HSE Advisor has to provide audit
finding track data sheet.
5.5 Excellent and Outstanding
 Once the two consecutive audit reports characterize as excellent of which one
should be by HOD - HSED, then the project will receive an appreciation for
maintaining HSE standard from the Management.
Review:

The results of every internal audit are summarised which form part of the agenda for the
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Management Review at site / country/ corporate level.

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Records Format No. Retention

 Internal HSE Audit Plan PM-00-OA 3 Years

 Internal HSE Audit of Site - Scorecard PM-00-OB 3 Years
 Nonconformity Report PM-00-OC 3 Years
 CAPA Register PM-00-NA Till end of project