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
2 Proactive in target
setting
3 Informed
involvement
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
Procedure for developing HSE objectives, targets
and plans
OU Business Plan, 2000-2005
Examples of HSE Tasks and Targets in staff
appraisals
Minutes of HSE Committee meetings
Minutes of incident reviews
Minutes of formal HSE MS Management Reviews
2. POLICY AND STRATEGIC OBJECTIVES
4 Content
5 Dissemination
6 Strategic Objectives
HSE Policy
Daughter HSE Policies
Joint Venture Statement
Contractors HSE policies
Registers of induction training or personal passport
system
Staff induction procedures
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
8 HSE Advisors
9 Resourcing
Corporate and BU Organisation (Organograms),
Catalogue of HSE Critical Activities and relevant
Job Descriptions including HSE responsibilities
Roles and Responsibilities for HSE advisers and
HSE Focal Points (FP)
Competence requirements for HSE advisors and
HSE FPs
HSE focal point structure
Minimum acceptable resourcing levels for HSE
critical activities (manning philosophy)
1
10 Competency
Assurance
11 Contractors
12 Communication
13 HSE MS Manual
14 HSE Case
Leave schedules/rotas
Any relevant resourcing studies
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.
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
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
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
Specification for selection of facilities and
operations requiring HSE Case
HSE Case documents
4. HAZARD AND EFFECTS MANAGEMENT
15 Identification
16 Assessment
HRA for sites and BU activities/ services, job type.
EA and EIAs
SIA
Sample of HAZOPS / HAZIDS
Inventory/Register of HSE Hazards, Effects and
Aspects for each BU / site ranked using the risk
matrix
ISO 14001 gap analysis
2
17 Controls - and
ownership.
18 Performance in
maintaining
controls
19 Recovery
20 Recording
See HSE Case(s)and HSE MS(s)
Performance Indicators for emergency response
times and records of actual performance under test
or real activation.
Testing / maintenance of HSE critical equipment
Listing of HSE procedures and parties responsible
for the procedures
Emergency response procedures:
Medical, Oil Spill, SAR, Adverse Weather etc.
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
22 Asset Integrity
Procedure for the development of HSE plans
Corporate, business, asset and departmental HSE
plans
Contractors’ HSE plans
Operations Philosophy
Company design and engineering practices
Design Philosophy
General Layout Drawings
Process Flow scheme
Asset reference plans
Specifications (for piping and major equipment)
23 Procedures & work
instructions
24 Contingency
planning and
External Planning
Development Plan (showing planned extensions,
modifications & remedial actions)
Maintenance Plan
Alarm and Shutdown Matrix
Hazardous Area Classification Drawings
P&ID as-built updating procedures
Register of HSE procedures (Part 3 of HSE
Manual)
List of procedures and work instructions for
‘Operational Control’
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
26 Records
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
Procedure for HSE Data Reporting and Record
Keeping
3
27 Non compliance &
corrective Action
28 Incident Reporting
& follow up.
29 Change Control
Procedures for non-conformance and Legal
Compliance Monitoring
Register of legislative non-compliance and status
Register of non-conformances, corrective action
and status
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
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
31 Competency
32 Contractor
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
Register of approved auditors
Competency requirements for audit team members
Auditor training records
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
4