Prepare for audit

Administrator

Description

Preparation for auditTo facilitate and prepare for the upcoming audit, you are requested to fill out thefollowing forms to the best of your knowledge. The information requested will bestudied by the auditor(s) to allow familiarization of your organization’s HSE system in order to use on-site audit time as efficient as possible. Answering the questions alsoassists you to prepare for the audit.The forms presented cover all 20 elements of of the audit reference and their basicset-up in relation to generic and specific sub-elements.To assist you in the filling out of the forms, brief objectives are being provided foreach element and sub-element.The area “reference” allows the user to indicate where the item under consideration can be found. Such reference may include a person’s name, subject title as part of company (HSE) system, code number, place, etc.Audit preparation matrix 1997 1Element– 1 “Leadership”Element ObjectivesTo establish and formalize HSE leadership, commitment and support at thesenior level of the organization in order to continually improve HSEperformance commensurate with the risks of the organization.Element Reference:Sub-element Your response1.0. Policy Statement Policy Statement available?The objective of this sub-element is to formalize in written form the topmanagement attitude, leadership, commitment and support to meet HSE yes/noobjectives and targets identified.1.0. Reference:1.1. Management statement Management Statement ...

Informations

• Publié par: Choud
• Nombre de lectures: 13
• Langue: English

Extrait

Preparation for audit

To facilitate and prepare for the upcoming audit, you are requested to fill out the following forms to the best of your knowledge. The information requested will be studied by the auditor(s) to allow familiarization of your organization’s HSE system in order to use on-site audit time as efficient as possible. Answering the questions also assists you to prepare for the audit.

The forms presented cover all 20 elements of of the audit reference and their basic set-up in relation to generic and specific sub-elements.

To assist you in the filling out of the forms, brief objectives are being provided for each element and sub-element.

The area “reference” allows the user to indicate where the item under consideration can be found. Such reference may include a person’s name, subject title as part of company (HSE) system, code number, place, etc.

Audit preparation matrix 1997

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Element– 1 “Leadership” Element Objectives To establish and formalize HSE leadership, commitment and support at the senior level of the organization in order to continually improve HSE performance commensurate with the risks of the organization. Element Reference:

Sub-element Your response 1.0. Policy Statement Policy Statement available? The objective of this sub-element is to formalize in written form the t op management attitude, leadership, commitment and support to meet HSE objectives and targets identified. yes/no 1.0. Reference:

1.1. Management statement Management Statement for this Element is available? The objective of this sub-element is to assure the ongoing senior e m le an m a e g n e t m ac e t n i t vi l t e i a e d s e i r n sh o i r p d , er co to m m mi e t e m tt e h n e ta el n e d m s e u n p t p o or b t je i c n ti r v el e a s t . iontothe yes / no 1.1. Reference:

1.2. HSE Coordination Proper coordination established? The objectives of this sub-element are to assure proper coordination of the overall HSE system such that system activities are properly identified, developed, coordinated, carried out, monito improvement. redandreviewedforfurther yes / no 1.2. Reference:

1.2.1. General HSE System Coordination Clear description of HSE organization? To properly describe, through the use of an organization chart and/or otherwise, the HSE management structure of the organization. yes / no 1.2.1. Reference:

1.2.2. HSE management team

Audit preparation matrix 1997

HSE management team

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established? To assure high level coordination of the HSE system through a senior se and decision m m a a k n i a n g g e a m u e t n h t o t r e it a y. mwiththeappropriatemandate,experti yes / no 1.2.2. Reference

1.2.3. HSE management/labor committee The formation of a management - labor committee to communicate relevant HSE issues. 1.2.3. Reference:

1.2.4. HSE System Coordination The appointment of a person as the overall coordinator of the HSE management system. 1.2.4. Reference:

1.2.5. HSE specialist support To assure that the necessary (technical) expertise is availabl e when needed and in line with the risks of the organization. 1.2.5. Reference:

HSE management/labor committee established? yes / no

HSE system coordinator appointed? yes / no

HSE specialist support provided? yes / no

1.2.6. Coordinator Name of coordinator for this Element? The objective is to assure proper coordination of the activities of this element such that they are properly developed, carried out, monitored and reviewed for further improvement _______________________ 1.2.6. Reference:

1.3. Review of legislation, Codes and Standards Requirements for this Element are known? The objective of this element is to assure that all applicable regulations, i c n o c d o e r s po a r n a d te st r a e n q d u a i r re ds m a e r n e ts id i e nt n o tif w ie o d rk an p d ra t c h ti a c t e ti s, m r e u l l y es a , c t t r i a o i n n s in a g re p t r a o k g e r n a t m o s, yes / no engineering standards, etc. 1.3 Reference:

1.4. Standing plan

Audit preparation matrix 1997

A standing plan for this

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Element is available? The objective of this sub-element is to assure that appropriate actions are taken to consistently meet the objectives of the element. yes / no 1.4. Reference:

1.4.1. Policy distribution To assure distribution to internal and external stake -holders. 1.4.1. Reference:

1.4.2. Acquisitions To assure HSE considerations during acquisition and divestment activities. 1.4.2. Reference:

1.4.3. Permits to operate To assure that the required permits to operate are present, that the conditions are known, and kept up to date. 1.4.3. Reference:

1.4.4. Refusal to work due to HSE hazards To provide guidance to employees and their supervisors/managers on how to address circumstances where the HSE risks are considered unacceptable by the employees involved in the execution of the related jobs. 1.4.4. Reference:

Policy distributed? yes / no

Procedure concerning HSE in acquisitions? yes / no

System to assure relevant permits to operate? yes / no

yes / no

1.4.5. HSE objectives, targets and resources HSE objectives, targets and To assure that relevant HSE objectives and targets are set commensurate resources provided? the HSE policy of the organization and to assure that necessary resources are made available to obtain the objectives and targets. yes / no 1.4.5. Reference:

1.4.6. Written HSE system

Audit preparation matrix 1997

Written HSE system

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To formalize the vital parts or elements of the HSE systems such that they can be communicated to relevant internal and external stakeholders to serve as reference in the execution of the related activities. 1.4.6. Reference:

1.4.7. HSE performance standards To indicated standards of performance for all levels of management and supervision, relevant staff functions and others in order to assure that necessary HSE activities are being carried out by the appropriate individuals. 1.4.7. Reference:

1.4.8. Individual HSE responsibility and appraisal To assign HSE responsibilities to the appropriate persons in the organization and to establish a system of periodic appraisal of those persons in relation to their HSE duties.

1.4.8. Reference:

1.4.9. Internal audits To establish a system of internal HSE audits to be executed by managers and supervisory personnel and employees. 1.4.9. Reference:

1.4.10. HSE system review and improvement To periodically review - and as necessary improve - the functioning of the total HSE system in relation to th e policy of the organization, the objectives and targets as well as external requirements and/or developments relevant to the organization. 1.4.10. Reference:

1.4.11. Standing plan assessment The objective of this element is to verify whether the standing plan has been executed as planned and in accordance with the criteria set.

1.4.11. Reference:

1.5. Employee participation

Audit preparation matrix 1997

established? yes / no

HSE performance standards provided for all relevant functions? yes / no

HSE responsibilities assigned to individuals and appraisal system established? yes / no

Internal audit system established? yes / no

HSE system reviews done? yes / no

Execution of Element activities is periodically assessed? yes / no

Employees at various levels

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The objective of this sub-element is to involve relevant employees (at various levels in the organization) in the development, execution and improvement of element activities. 1.5. Reference:

1.6. Element related training The objective is to provide knowledge, skills and motivation to those people who are charged with carrying out the element activities, including those that are related to coordination, management/coaching, implementation, monitoring, review, etc. 1.6. Reference:

1.7. Communication The objective of this sub-element is to ensure that identified relevant parties (either internal or external to the organi zation) are provided with appropriate information concerning the activities in this element 1.7. Reference:

1.8. Data collection and analysis The objective of this sub-element is to gather and analyze the information/data necessary for communication to identified relevant parties for the proper management of the activities. 1.8. Reference:

1.9. Review and improvement The objectives of this sub-element is to assure that results (as indicated through the management statement) are being achieved and that further actions, as appropriate, are taken for further improvement.

1.9. Reference:

Comments:

Audit preparation matrix 1997

are involved in Element activities? yes /no

Element related training has been provided? yes / no

Communication on Element activities goes to identified parties? yes /no

Data for Element activities is collected and analyzed? yes / no

Element activities are reviewed for results and improvement Done? yes /no

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Element 2-“Training” Element Objectives To provide necessary training to relevant people in the organization to ensure that they have the required knowledge and skills to effectively carry out their work duties in the development and implementation of the HSE management system and to assure that they will be able to carry out their work in a safe manner. Element Reference:

Sub-element Your response 2.1. Management statement Management Statement for this Element is available? The objective of this sub-element is to assure the ongoing senior e m le an m a e g n e t m ac e t n i t vi l t e i a e d s e i r n sh o i r p d , er co to m m mi e t e m tt e h n e ta el n e d m s e u n p t p o o b rt je i c n ti r v el e a s t . iontothe yes / no 2.1. Reference:

2.2. Coordinator Name of coordinator for this Element? The objective is to assure proper coordination of the activities of this element such that they are properly developed, carried out, monitored and reviewed for further improvement _______________________ 2.2. Reference:

2.3. Review of legislation, Codes and Standards Requirements for this Element are known? The objective of this element is to assure that all applicable regulations, codes and standards are identified and that timely actions are tak en to incorporate requirements into work practices, rules, training programs, yes / no engineering standards, etc. 2.3 Reference:

2.4. Standing plan A standing plan for this Element is available? The objective of this sub-element is to assure that appropriate actions are taken to consistently meet the objectives of the element. yes / no 2.4. Reference:

Audit preparation matrix 1997

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2.4.1. Training General To assure that operating personnel (to include managers, supervis ors and operators) are trained on issues general to the operation of hazardous processes. 2.4.1. Reference:

2.4.2. Training Needs Identification for HSE Leadership To identify the needs for HSE management training of those persons who, through their function, (can) have an important influence on the operation of the HSE management system of the organization.

2.4.2. Reference:

2.4.3. HSE Leadership Orientation/Induction To assure that individuals in functions with an important influence on the operation of the HSE system have been informed of the HSE system and their role with respect to the system. 2.4.3. Reference:

2.4.4. Formal Initial training of senior management To provide the necessary (management) knowledge and skills relevant to the HSE system and its elements to persons in senior management positions, to enable these individuals to prope rly execute their HSE roles.

2.4.4. Reference:

2.4.5. Formal Review, Update and advanced HSE training of senior management To periodically refresh and up-date the HSE (management) knowledge and skills of senior management personnel. 2.4.5. Reference:

2.4.6. Formal Initial HSE Leadership Training To provide the necessary (management) knowledge and skills relevant to the HSE system and its elements to persons in management and supervisory positions, to enable these individuals to properly execute their HSE roles. 2.4.6. Reference:

Audit preparation matrix 1997

Training on general issues available? yes / no

Training needs identified? yes / no

HSE Leadership orientation provided? yes / no

Formal initial training to senior management provided? yes / no

Formal review/update etc. training provided to senior management? yes / no

Formal initial HSE Leadership training provided to other than senior management? yes / no

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2.4.7. Formal Review, Update and Advanced HS Leadership Training To periodically refresh and up-date the HSE (management) knowledge and skills of management and supervisory personnel. 2.4.7. Reference:

2.4.8. Formal Training of HSE Coordinator To assure that the HSE system coordinator has received the appropriate training to assist in the management (development, implementation, review and improvement) of the HSE system. 2.4.8. Reference:

2.4.9. Needs Identification for Knowledge and Skill Training To identify the (technical) training to obtain the knowledge and skill levels necessary to carry out the work to be done in the organization. 2.4.9. Reference:

2.4.10. Knowledge and Skill Training System To assure that training will be provided as requir ed by the needs identification . 2.4.10. Reference:

2.4.11. Standing Plan Assessment The objective of this element is to verify whether the standing plan has been executed as planned and in accordance with the criteria set.

2.4.11. Reference:

2.5. Employee participation The objective of this sub-element is to involve relevant employees (at various levels in the organization) in the development, execution and improvement of element activities. 2.5. Reference:

Audit preparation matrix 1997

Formal Review/update etc. training provided to others than senior management? yes / no

Formal training provided to HSE coordinator(s) yes / no

Knowledge and Skill training needs identified? yes / no

Knowledge and skill training system in operation? yes / no

Execution of Element activities is periodically assessed? yes / no

Employees at various levels are involved in Element activities? yes /no

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2.6. Element related training The objective is to provide knowledge, skills and motivation to those people who are charged with carrying out the element activities, including those that are related to coordination, management/coaching, implementation, monitoring, review, etc. 2.6. Reference:

2.7. Communication The objective of this sub-element is to ensure that identified relevant parties (either internal or external to the organization) are provided with appropriate information concerning the activities in th is element 2.7. Reference:

2.8. Data collection and analysis The objective of this sub-element is to gather and analyze the information/data necessary for communication to identified relevant parties for the proper management of the activities. 2.8. Reference:

2.9. Review and improvement The objectives of this sub-element is to assure that results (as indicated through the management statement) are being achieved and that further actions, as appropriate, are taken for further improvement.

2.9. Reference:

Comments:

Audit preparation matrix 1997

Element related training has been provided? yes / no

Communication on Element activities goes to identified parties? yes /no

Data for Element activities is collected and analyzed? yes / no

Element activities are reviewed for results and improvement Done? yes /no

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Element 3 -“(Process) Risk Analysis” Element Objectives To assure the identification, analysis and evaluation of all HSE risks involved in operating plant and processes under consideration. Element Reference:

Sub-element Your response 3.1. Management statement Management Statement for this Element is available? The objective of this sub-element is to assure the ongoing senior e m le an m a e g n e t m ac e t n i t vi l t e i a e d s e i r n sh o i r p d , er co to m m mi e t e m tt e h n e ta el n e d m s e u n p t p o o b rt je in ct r i e v l e a s t . iontothe yes / no 3.1. Reference:

3.2. Coordinator Name of coordinator for this Element? The objective is to assure proper coordination of the activities of this element such that they are properly developed, carried out, monitored and reviewed for further improvement _______________________ 3.2. Reference:

3.3. Review of legislation, Codes and Standards Requirements for this Element are known? The objective of this element is to assure that all applicable regulations, i c n o c d o e r s p a o n ra d te st r a e n q d u a i r r d e s m a e r n e t i s d i e n n t t o ifi w e o d rk an p d ra t c h t a i t c t e i s, m r e u l l y es a , c t t r i a o i n ni s n a g re p t r a o k g e ra n m to s, yes / no engineering standards, etc. 3.3 Reference:

3.4. Standing plan A standing plan for this Element is available? The objective of this sub-element is to assure that appropriate actions are taken to consistently meet the objectives of the element. yes / no 3.4. Reference:

Audit preparation matrix 1997

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