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HSE MANAGEMENT SYSTEM AUDIT
PROCEDURE
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Title
KESC-SP-005 I 0 I I 1 of 9 HSE
Document No. I Version I Date of Version I Page Issuing department

1.0 PURPOSE:

This Procedure describes the processes to be followed for HSE Management Audits of the company
(Head Office, BUs / Departments), high risk contractors and outlines the procedure to be adopted
including planning, scheduling, execution, report preparation and submission.

2.0 SCOPE:

This Procedure applies to:

1. All KESC activities under management control.
2. High Risk Contractor and sub-contractor sites to analyze their HSE Management
System compliance,

This procedure applies to all employees and third party contractual staff.

3.0 DISTRIBUTION:

Throughout all levels in the company and third party high risk contractors.

4.0 DEFINITIONS:

• Audit: A systematic and documented process of objectively examining systems, procedures,

information, practices or facilities to verify their compliance within a defined set of criteria or
requirements and to assess the effectiveness of their implementation. Audits may be conducted
on systems, compliance or technical aspects.

• Auditee: Location to be Audited

• Audit Coordinator: BU - HSE Representative, DGM, GM or their nominee thereof is
responsible for arranging audits according to the Audit Schedule, and for managing the data
from audits.
• Audit Schedule: A schedule of selected Management System processes indicating a periodic
review in a planned manner.
• Compliance Audit: A planned and documented independent activity, performed in accordance
with written procedures and checklists, to verify by investigation, and the examination and
evaluation of objective evidence, that applicable elements of the management system have
been developed, documented and effectively implemented in accordance with the management
system requirements, management manual, procedures and Work Instructions.
• Internal Audit: An audit performed by KESC personnel on the HSE Management Systems.
• Major non-compliance: An activity, which is in direct contravention of a procedure or work
instruction. It also applies when an element of the KESC Standards is not addressed or when
an activity is in contravention of them

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Document No. I Version I Date of Version I PaQe Issuing department

• Minor non-compliance: An isolated incident of a non-compliance with a procedure or work

instruction and one which has no direct consequential effect on quality, HSE, environmental or
financial results.

5.0 HSE REQUIREMENTS:

5.1 NEPRA ACT 1997 (34 PERFORMANCE STANDARD)

The Authority shall encourage the development of industry standards and uniform codes of conduct
so as to provide:
(a) planning criteria for HSE, reliability and cost effectiveness of generation,
transmission and distribution facilities;
(b) construction practices and standards of such facilities;
(c) operating standards and procedures;
(d) maintenance schedules;
(f) equipment specification and standardization; and
(g) load-shedding and restoration procedures.

5.2 OHSAS 18001 Specifications (Section 4.5.4)

The organization shall establish and maintain an audit programme and procedures for periodic OH
& S Management System audits to be carried out, in order to:
a) Determine whether or not OH & S Management System:
1. Conforms to planned arrangements for OH & S Management including the requirements
for this OHSAS specifications:
2. Has been properly implemented and maintained; and
3. Is effective in meeting the organization's policy and objectives.

b) Review the results of previous audits;

Provide information on the results of audits to management.
The audit programmes, including any schedule, shall be based on the results of risk assessments
of the organization's activities, and the results of previous audits. The audit procedures shall cover
the scope, frequency, methodologies and competencies, as well as the responsibilities and
requirements for conducting audits and reporting results.
Wherever possible, audits shall be conducted by personnel independent of those having direct
responsibility for the activity being examined.

5.3 ISO 14001 :2004 Specifications (INTERNAL AUDIT - Section 4.5.4)

The organization shall ensure that internal audits of the environmental management system
are conducted at planned intervals to:
a) Determine whether the environmental management system
1) Conforms to planned arrangements for environmental management including the
requirements of this International Standard, and
2) Has been properly implemented and is maintained, and
b) Provide information on the results of audits to management.

Rev: 00
KESC-SP-005
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HSE MANAGEMENT SYSTEM AUDIT
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PROCEDURE
Title
KESC-SP-005 I 0 I I 30f9 HSE
Document No. I Version I Date of Version I Paqe Issuing department

Audit programme(s) shall be planned, established, implemented and maintained by the

organization, taking into consideration the environmental importance of the operation(s)
concerned and the results of previous audits

Audit procedure(s) shall be established, implemented and maintained that address

- The responsibilities & requirements for planning and conducting audits, reporting results &
retaining associated records,
- The determination of audit criteria, scope, frequency and methods.

Selection of auditors and conduct of audits shall ensure objectivity and the impartiality of the
audit process.

5.4 FACTORY ORDINANCE ACT 1934 (Chapter III, Section 11, 12)

(a) Health & Safety

(b) Introducing or alerting the procedure for managing risks to safety; and
(c) Changes that may affect health, safety or welfare are proposed to the premises where
person work, to the system or methods of work or to plant or substances used for work
(d) Consultation
(e) Training

6.0 RESPONSIBILITIES:

6.1 DIRECTOR HSE

• Ensure that a regular system of audits is undertaken, to check for compliance

of performance with systems, and compliance of systems with internal and
external performance standards, particularly NEPRA, Factory Act 1934 and the
requirements ofISO 14001, OHSAS 18001.
• Nominate the Audit Team Members.
• Plan and coordinate audits (both internal and external) in compliance with the
Audit Schedule.
• To ensure corrective actions resulting from audits are properly tracked in to
HSE Action Tracking Register (F-SP-005-01) and closed out.

6.2 HEAD-BUSINESS UNITS:

• Coordinate with Corporate HSE department for the success of audit and continual
improvement.

• Nominate staff (Audit coordinator) to be involved with audit team.

KESC-SP-005 Rev: 00
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Document No. I Version I Date of Version I Paae lssuinq department

• Ensure all data required by audit team is provided on priority.

• Ensure corrective actions are taken and provide root causes for the identified non-
conformances (Major, Minor, Observations) as agreed with Audit Team on priority
basis.

6.3 AUDITOR:

• Conduct audit as per agreed schedule with auditee.

• Familiarize himself with the documents (Auditee) and topics

• Conduct Audit as per checklist (F-SP-005-02)

• Conduct opening meeting with the management team (auditee)

• Conduct closing meeting with the management team (auditee)

7.0 PROCEDURE:

7.1 AUDIT SCHEDULE:

Audit type
DIVISIONS I BUs Departments Frequency
Internal External

Distribution Reqion 1 YES YES ANNUALLY

Region 2 YES YES ANNUALLY

Reqion 3 YES YES ANNUALLY

Region 4 YES YES ANNUALLY

HT YES YES ANNUALLY

New Connection YES YES ANNUALLY

System Enqineerinq YES YES ANNUALLY

Special Projects YES YES ANNUALLY

Revenue Protection YES YES ANNUALLY

Department (RPD)

Generation & SGTPS YES YES ANNUALLY

Transmission
KTGTPS YES YES ANNUALLY

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KTPS YES YES ANNUALLY

BQPS YES YES ANNUALLY

CCPP YES YES ANNUALLY

Grid & Transmission YES YES ANNUALLY

HR Manaqement HR Department YES YES ANNUALLY

Support Services Inventory YES YES ANNUALLY

Manaqernent

Fleet Management YES YES ANNUALLY

Real State YES YES ANNUALLY

Security YES YES ANNUALLY

Procurement YES YES ANNUALLY

IHU YES YES ANNUALLY

Medical YES YES ANNUALLY

High Risk Contractors • CIVIL YES NO • HSE PRE-QUALIFICATION

• MECHANICAL • ANNUALLY

• Electrical &
Instrumentation

• LOGISTICS
(Surface Mobile
Equipments)

7.2 PERSONNEL TO BE IN VOL VED IN THE AUDIT:

Persons who take part in audits are to be nominated by the Director HSE in agreement with the audit
schedule as mentioned in Section 7.1. Departmental Heads (Auditee) will be responsible to nominate his
delegate to take part in the Audit.

7.3 AUDIT PROCESS:

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Title
KESC-SP-005 I 0 I I 6 of 9 HSE
Document No. I Version I Date of Version I Paqe lssuinq department

The audit process shall include:

• Audit initiation as per the audit schedule as mentioned in Section 7.1 or triggered by a high
HSE risk of issue that needs investigation.

• Contractor HSE Prequalification audit as and when required prior to contract award to
contractor involved in high risk activities (F-SP-005-04). To be ensure by procurement
department to carryout HSE Audit in conjunction with Corporate HSE Department after short
listing of vendors.

• Planning and agreeing dates & times with personnel (Auditee)

• Planning meeting if required.

• Audit opening meeting & documenting the audit findings.

• Audit techniques & how to record findings

• Audit close-out meeting & documenting the audit.

• Setting up major, minor non-conformance in the HSE Action Tracking Register (F-SP-005-
01 ).

7.4 AUDIT PLANNING:

The HSE Department shall be responsible for developing an audit schedule for the HSE Management
System processes. The audit schedule / frequency shall reflect a periodic schedule of auditing of selected
locations (Auditee) which is briefed in section 7.1. Change in the frequency will be determined in
consultation with the BUs Head and Director HSE by the significance of their effect on quality, HSE,
environmental, and financial results or shall be reviewed at the end of 12 months to see if any timing and
frequency need to be altered because of the audits being too brief or too long.
The Director HSE shall be responsible for ensuring that audits are performed in accordance with the audit
schedule.
The Director HSE shall assign an audit team to perform the audit, and shall appoint a Lead Auditor, as
per the audit schedule.
Auditors where possible shall be independent of the function they are to audit. As a minimum the Lead
Auditor shall have internal training as an auditor or have completed 5 audits with either KESC or other
multinational companies.
Audit scope shall be derived from Audit Schedule or by the Senior Management.

7.5 AUDIT PREPARATION:

The lead auditor shall agree the audit schedule with the auditee and audit team member.

Prior to performing the audit, the auditors shall

• Familiarize themselves with the documents (and topic),

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• Prepare questions to be asked or activities/equipment requiring examination.

If necessary the audit team members shall prior to the audit

• Evaluate the document control aspects of the document (eg. adequate referencing, form
numbering, sample inclusion, etc)

• Technically evaluate the document's content

7.5 AUDIT OPENING MEETING:

The Audit Coordinator (Auditee) shall conduct an entry meeting in order to run through any questions,
observations or technical concerns of either the audit team or the Auditee. The Audit Opening / Closeout
Register (F-SP-005-03) may be used as a basis for this meeting.
In the opening meeting, maximum attendance of relevant members is recommended, so that they are
informed about the purpose, scope and duration of the audit.

7.6 AUDIT IMPLEMENTATION:

Audits shall be documented by either the Audit Checklist (F-SP-005-02) or a report layout provided by the
external auditors. However, audit checklist shall as a minimum contain the following information

• Audit scope and objectives;

• Names of auditors;
• Audit timetable;
• Invitation to senior management to attend both entry and exit meetings;
• Statement that the audit results shall remain confidential to KESC unless the auditee
agrees otherwise;
• A request for confirmation of the arrangements.

The audit check lists shall not be a standard checklist but shall be formulated questions based on;

• Requirements of the Management System Procedures and Work Instructions;

• Previous audit reports;

• Auditor's knowledge of weaknesses in the management system.
Auditing shall conform to the principles as stated in NEPRA, Factory Ordinance Act 1934 Pakistan, ISO
14001, OHSAS 18001 & KESC Management Standards
In performing the audit, the auditor shall address all questions on the checklist but may modify and extend
these to incorporate other deficiencies that become apparent during the audit.
The auditor shall record on the checklist the objective evidence that demonstrates whether work practices
comply or do not comply with the audit checklist questions. The evidence shall be categorized using the
data types listed in Table 1.

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Title
KESC-SP-005 I 0 I I 8 of 9 HSE
Document No. I Version I Date of Version I Page Issuing department

Table 1 - Audit Data Classifications

~-D-e-s-c-r-ip-t-io-n---------------------------------------------------
Comply Complies with work practice, work instruction or procedure
Note worthy Significant improvement or achievement which the auditor will like to mention in the
audit report
Opportunity for Suggestion from the auditor which can bring in improvement in the system, however
improvement the auditee may ignore or rate low in the actions list
Observation Auditor suggestion to improve system efficiency or observation that a procedure is
difficult to understand.
Minor An isolated incident of a non-compliance with a procedure or work instruction and
one which has no direct consequential effect on quality, HSE, environmental or
financial results.
Major An activity, which is in direct contravention of a procedure or work instruction. It also
applies when an element of the management standard or management manual is not
addressed or when an activity is in contravention of them.

The auditor shall inform the auditee as to whether a finding complies or does not comply with the
specified standards. However, the auditee shall be reminded that a "does not comply" shall not
automatically result in a System Non-compliance/Corrective Action Report being raised.

If during the course of an audit the auditor encounters untoward lack of cooperation or hostility from the
auditee the auditor shall cease auditing and report this matter to the Lead Auditor. The Lead Auditor
shall attempt to resolve the communication difficulty with the auditee but if this is not successful then the
problem shall be reported to the Director HSE & Departmental/BUs Head.

7.7 AUDIT TEAM REVIEW OF DATA:

At the conclusion of the audit the audit team shall convene to review the findings. A list of the audit
observations shall be shown in the Audit Checklist (F-SP-005-02).
The non-compliances shall be reviewed as being major or minor by the audit team. In addition, the Lead
Auditor may group a number of minor non-compliances together into a major non-compliance if they stem
from the same deficiency. The Lead Auditor's has the final responsibility for the classification of non-
compliances as either major non-compliances or as minor non-compliances.
A hard copy of all non-compliances shall be printed for presentation at the close out meeting.

7.8 AUDIT CLOSEOUT MEETING:

The audit close out meeting shall be a meeting between the audit team and relevant members of
Departmental/BUs (Audittee).

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Document No. I Version I Date of Version I Paqe Issuing department

The Lead Auditor shall:

• Record those present at the meeting on the Audit Opening / Closeout Register (F-SP-005-
03).

• Review the findings of the audit

7.9 AUDIT REPORT:

The Lead Auditor shall be responsible for documenting the audit findings in the report using the Audit
Checklist (F-SP-005-02) or other reporting formats mentioned in section 7.6. This shall be completed
within two weeks of the conclusion of the audit. The Director HSE shall approve the report.
The following items shall be appended to the report:

• Audit Scope
• Attendance Register

• Audit observations report

The Audit Report shall clearly identify all the major and minor non-compliances and observations. Effort
shall also be made to highlight the processes that were being performed well.

The report shall be distributed to all concerned KESC Management Staff and audit team members for
further follow-up and continual improvements

8.0 APPLICABILITY:

All KESC Departments / BUs, employees and contractors.

9.0 FORMS I DOCUMENTS:

- F-SP-005-01 HSE Action Tracking Register
- F-SP-005-02 HSE Management System Audit Checklist
- F-SP-005-03 Audit Opening / Closeout Register

- F-SP-005-04 HSE Prequalification Audit Checklist - Contractors

HSE Dept.)
\~_\\-'Oq Reviewed By: ~~tved
(IR Dept.)
By 'I,;--H ~~!tJ_Lv.
JAHANGIR AZAR
DIRECTOR
(HUMA.~RESOURCE)
KESC-SP-005 Rev: 00
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HSE ACTION TRACKING REGISTER HSE
F-SP-005-01 0 1 of 1
Document No VERSION DATE OF VERSION Page Issuing department

Raised Action
Sr. Type of Target Closeout Comments I Close out
#
Date by Non-Compliance (Noted) By Status remarks
Audit date date
whom Whom

F-SP-005-01 REV: 00
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F-SP-005-2 0 1 of 18
Issuing department
Document No VERSION DATE OF VERSION Page

Period of Audit: (DD/MMIYY)

Audit Team Leader:

Audit Team:

Determine whether the HSE Management System (SMS, EMS) conforms to planned arrangements for occupational health,
Audit Scope: safety and environmental management including requirements of the national and international standards (NEPRA, Factory
Ordinance Act Pakistan, OHSAS, ISO), and whether the management system have been properly implemented and
maintained.

NEPRA, Factory Ordinance Pakistan, ISO 14001:2004, & OHSAS 18001:1999

Audit Criteria:

From: To:
Previous Audit Dates:

Previous Audit Reference:

Distributio n:
Copies:

Date: (DD/MMIYY)

Approved (Lead Auditor): _

F-SP-005-02 REV: 00
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F-SP-005-2 0 2 of 18
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Document No VERSION DATE OF VERSION Page

'EVIDENCE'(COuldb~ .
verbairme'rviews) , ..

General Is an HSE MS established and maintained? If yes:

(a) Does system procedures and instructions address

• OHSAS 18001 - 4.1 each clause of NEPRA, ISO 14001:2004 and OHSAS
• ISO 14001- 4.1 18001 Standard?
• NEPRA
• Factory Ordinance (b) Does the HSE MS address the main focus of
Act Pakistan legislative compliance and continual improvement?

(c) Is the HSE MS fully operational for a period of at least

three months?

. ,. .:
HEADING I EVIDENCE (Could be '-'-:E"
CHARACTERISTICS ; .. DOC#
"
i CLAUSE
.
Has top management
i. .\

defined the HSE policy of the

...... .,'
verbal interviews)
.. '
COMMENTS

HSE Policy
organization? Is it:

• OHSAS 18001-4.2 a) Appropriate to the organization's activities and their

(Policy) potential OHS and Environmental risks?

• ISO 14001 - 4.2 b) Include a commitment to continual improvement and

(Policy) prevention of pollution?

• Factory Ordinance c) Contains a commitment to comply with relevant health,

Act Chapter-III- 12 safety and environmental legislation and regulations,
(Written Policy and with other requirements which it subscribes to?
Statement)
d) Provides a framework for setting and reviewing safety
and environmental objectives and targets?
• NEPRA GRID
CODE -OC 9.1 e) Documents with a commitment to implement, maintain
(Introduction,
and communicate it to all employees?
Objective & Scope)
f) Available to the public?

F-SP-005-02 REV: 00
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HSE MANAGEMENT SYSTEM - AUDIT CHECKLIST HSE

F-SP-005-2 0 3 of 18
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Planning Is a procedure established to identify environmental

aspects/ impacts and health & safety hazards! isks?

Environmental Does the organization / department have a procedu re for

Aspects and Safety hazard Identification?
& Health hazard
identification risk Does the organization / department have a formalized
assessment ~nd Risk Assessment plan at place?
risk control. Are Control measures adequately applied after
identification of risks and hazards?

• OHSAS 18001- Does the risk assessment procedure encompass

4,3,1 (Hazard and contractors and visitors?
Risk Identifications &1-:--------,--,---,--------- ---1------+----------+-----------------1
Control) Are external hazards (such as security or natural disaster)
incorporated in workplace risk assessment?
• ISO 14001 - 4,3,1
(Environmental Are hazards associated with plant engineering and
Aspects) operation quantified for risks? Are control measures
appropriate?
• Factory Ordinance
How is management of change incorporated? Are hazards
Act Chapter -II - 4
(General Duties of and risks identified, prior to any change in plant or
Employer) organization?

Is plant engineering and operations evaluated for physical,

• NEPRA Planning
Code -DOC 6,2 environmental and other relevant aspects?
(Procedure)
Human factors interacting with the equipment, technology,
systems and procedures?:

(a) Is plant design evaluated for human well-being and

overall system performance optimization?

(b) Is Identification of human competencies,

characteristics, limitations, experiences and needs,
constructing, operating, maintaining, supporting
and using the facility conducted?

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F-SP-005-2 0 4 of 18
Issuing department
Document No VERSION DATE OF VERSION Page

\ EVlDENCE, /C;"ulft
verbal inteiy/ews)

What is the hierarchy of controls (i.e. does it following this

mechanism: "elimination, substitution, engineering
controls, administrative controls and PPE")?

HEADING I
CHARACTERISTICS
CLAUSE

Legal and Other Is there a procedure established to identify and have

Req u irements access to legal requirements etc. applicable to the health,
safety and environmental aspects/impacts?
• OHSAS 18001-4.3.2
Are all applicable legislation identified including changes
• ISO 14001 - 4,3.2 and appropriate interpretation to suit company documents.

• Factory Ordinance Actl Does it include regular review?

Chapter -IV -
(Enforcement)
Are potential legal requirements considered, e.g.
Directives issued by GOP, SRO's, etc?
• NEPRA CODE -
Chapter III - Licences
(Industry Standards &
Code of Conduct)

HE.AOIN(l.f: I:VIDENCE (Could b

CLAUSE verbal interviews)

Objectives & Are documented HSE objectives and targets established

Targets at relevant functions/ levels?

Are targets established to achieve the objectives having

• OHSAS 18001- considered technology options, finance, operations,
4.3.3 (Objectives business requirements, interested parties and are they
and Programs) benchmarked within the industry and outside?

• ISO 14001 - 4.3.3 Are the objectives and targets consistent with HSE

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Document No VERSION DATE OF VERSION Page

(Objectives, policy?
Targets and
Programs) Are objectives and targets quantified and with timescales
(Measurable)?
• Factory Ordinance
Act Chapter -111- Are the objectives reflected in the long-term plans?
12 (Written Policy
Are objectives made for "improvement, management &
Statement)
measurement?
• NEPRA GRID Are views of interested parties, such as shareholders,
CODE -?C 9,1 regulating bodies and public, considered when
(introduction, establishing the objectives and targets?
Objective & Scope),I-====.::..:.:::'....:.:..:-=----::2~~-=--=~....:..:.:~...:.:..--------+__----_+---------t_---------------1
-Distribution Code Do the objectives and targets indicate a commitment to
DOC 6,1 prevention of pollution?

c , , ,
HEADING I EVIDENCE (Could '."
00(;#
..
(;U 1\0' . I t:KI~ IIL;~ "
CLAUSE'ri veri1al intelNiews)
··iiliri:.!FII ',: COMMENTS

Roles and
•f
I '.
i'
Is there tangible commitment from top management
..
• . .... {;;;
.... '11111';

Responsibilities regarding implementation of HSE Management system?

Are there ample resources available for implementation of

• OHSAS 18001- HSE Management System?
4.4,1 (Roles and
Are there clearly defined and documented roles,
Responsibilities)
responsibilities and accountabilities regarding
• ISO 14001 - 4.4.1 implementation of HSE Management System?
(Resources, roles, Is there a member of top management with defined role of
responsibilities and
authorities) ensuring the OH&S Management System is established,
implemented and maintained?
• Factory Ordinance Is every employee and contractor aware of the identity of
Act Chapter -II -
top management representative as described above?
(General Duties)

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Is a top level HSE Management System review conducted

• NEPRA Distribution IperiodiCallY? I I
Code DOC 6.5
Is a tangible employee/contractor HSE ownership &
responsibility present?

Competence, Are training needs identified?

Training and
Is appropriate training given to all personnel whose work
Awareness
may create a significant impact upon the Health, Safety
• OHSAS 18001- and environment?
4.4.2 (Training,
Awareness & Are key personnel being identified?
Competence)
Are procedures estblished to make employees at relevant
• ISO 14001 - 4.3.3 functions and levels aware of:
(Competence,
Awareness & a) The importance of conformance with the policy and
Training) procedures and requirements of the HSE Management
System?
• Factory Ordinance
b) The significant safety and environmental impacts,
Act Chapter -11-
4.4.e (General actual or potential, of their work activities and safety &
Duties of Employer) environmental benefits of improved personal
& Chapter III -14 performance?
(Training of HSE
Representatives) c) Their roles and responsibilities in achieving
conformance with policy, procedures and requirements
• NEPRA CODE of the HSE Management System? including emergency
(SRO 45 (1)/2005 - and response requirements?
°StS7d(Odvefrall d) The potential consequences of departure from specified
an ar or . dures?
Performance) operating proce ures.

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F-SP-005-2 0 7 of 18
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Document No VERSION DATE OF VERSION Page

Are tasks which can cause significant safety or

environmental impact performed by personnel who are
competent?

Is personnel qualification based on education, training

and/ or experience documented, especially for those
whose work can cause a significant HSE impact, such as
operators and measurement technicians?

Have all personnel been made aware of the

organisation's environmental policy, aspects, impacts,
objectives and targets and operational requirements in
the EMS?

DOC#

Communication Is procedure for internal communication available?

and Participation Is procedure for external communication available? Does
it entail protocol for receiving, documenting and
• OHSAS 18001- responding?
4&.4 (COn~ultattion~A-r-e-e-m-p-Io-y-e-e-s-in-v-o-Iv-e-d-i-n-p-r-o-c-e-s-s-o-f-h-a-z-a-rd------+------+----------+-------------------J
·3
C
ornmuruca lon)'d I entitication,
'f" . k assessment an d d eterrnina inatiIon 0 f
ns
• 13014001-4.4.3 controls?
(Communication)
Are employees involved in incident investigation?
• Factory Ordinance Are employees involved in development and review of
Act Chapter -III - HSE policies and objectives?
13 (Consultation)
Are contractors involved and/or consulted in HSE
• NEPRA Distribution Imanagement system; in matters pertinent to them?
CODE - DOC 6.4.4

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Issuing department
Document No VERSION DATE OF VERSION Page

Documentation IS HSE Policy and Objectives documented and available?

Is description of scope of HSE management system

• OHSAS 18001- available?
4.4.4
Is description of main elements of HSE management
(Documentation)
system available?
• ISO 14001 - 4AA
(Documentation) Are records required by NEPRA, ISO 14001 :2004 &
OHSAS 18001 Standards, available?
• Factory Ordinance Avail ibility of records, determined by the organization to be
Act Chapter-II- h ffecti I' . d
4.C & 8 (General necessary to ensure tee ective p annmg, .operatlon an
Duties of Employer) control of processes that relate to Its Significant
& Chapter 111-12.a environmental aspects.

• NEPRA CODE
(SRO 45 (1)/2005-
OS 7 (Overall
Standard for
Performance)
-NEPRA
Distribution Code
DOC 6.2
(Procedures)

HEADltJG I
CI.,A,VS.E CHARACT~RISTics
',. ',;/. ~; .: .' ," '. ",

Control of Are procedures established for controlling documents to

Documentation ensure that:
a) They can be located?
• OHSAS 18001-
4.4.5 (Documents b) Are they periodically reviewed, revised and approved
and Data Control) by authorised personnel for adequacy prior to issue?

F -S P-OO 5-02 REV: 00

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1(_</
HSE MANAGEMENT SYSTEM - AUDIT CHECKLIST HSE

F-SP-005-2 0 9 of 18
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Document No VERSION DATE OF VERSION Page

<8 E)S,PING'I<
···CLAUS'E'

c) Are current versions available at the point of use?

• ISO 14001 - 4.4.5
(Control of d) Are the changes and the current revision status of the
Documents) documents identified?

• Factory Ordinance e) Are documents legible, dated (with dates of revision),

Act Chapter -11- identifiable, maintained and retained for specified
4.C & 8 (General period?
Duties of Employer)
& Chapter 111-12.a

• NEPRA CODE
(SRO 45 (1)/2005-
OS 7 (Overall
Standard for
Performance)
-NEPRA Distribution
Code DOC 6.2
(Procedures) & 6.2.2.2

Are procedures and responsibilities established for

creation and modification of various types of documents?

Are obsolete documents removed from all points of issue

etc.

Are obsolete documents retained for legal or knowledge

purposes identified?

Operational Are operations and activities associated with significant

Control aspects/ risks identified and in line with policy, objectives
and targets?

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HSE MANAGEMENT SYSTEM - AUDIT CHECKLIST HSE

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Issuing department
Document No VERSION DATE OF VERSION Page

Are these activities, including maintenance, planned to

• OHSAS 18001- ensure that they are carried out under controlled
4.4.4 (Operational conditions by:
Control)
a) Establishing documented procedures to cover
• ISO 14001 - 4.4.6 situations where their absence could lead to
(Operational deviations from policy, objectives and targets?
Control)
b) Stipulating operating criteria in procedures?
• Factory Ordinance
Are procedures established related to identifible
Act Chapter -III -
11.2 (Health and
sign ificant aspects/ risks of goods/services and
Safety) communication relevant procedures and requirements to
suppliers and contractors?
• NEPRA GRID Are suppliers and contractors assessed for their HSE
CODE - Operation
position and performance?
Code 9

-NEPRA Distribution Are suppliers and contractors required to improve their

Code DOC 6.2 HSE performance?
(Procedures) & 6.2.2
Do procedures for tender/ enquiry preparation consider
(Operational
Boundaries and
layout, technical topics, environmental considerations
Principles and control of hazardous products and requirements for
packaging, labelling and transport methods?

Are contracts or purchase orders prepared considering

envi ronmental aspects and their influence?

Are waste disposal contractors verified for their proper

disposal/ recycle of wastes?

Is HSE measurement equipment used by contractor

calibrated?
Are suppliers and contractors being evaluated for their
continued and consistent HSE performance, in line with
the organ isation's approach?

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I<._,,,,*'
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Issuing department
Document No VERSION DATE OF VERSION Page

Are HSE records maintained of suppliers and

contractors?

Are the procedures establishing, implementing and

maintaining related to the identified significant
environmental aspects of goods and services used by
the organization and communicating applicable
procedures and requirements to suppliers, including
contractors.

Are the weather sensitive items stored in appropriate

storage environment?

Does a procedure exists, which can ensure site

restoration plan is developed and implemented for
activities disturbing land? Is tracking done to monitor the
performance and timely completion?

Does waste management procedure exist, implemented

and regularly reviewed'Plncludlnq IT Waste.

Are precaution taken against self acting machines, rotary

machines, fire, excessive weig hts, loading and earth
moving machines, cranes and lifting machines,
scaffolding and working at height, safety of building,
machinery and manufacturing process?

Are environmental friend Iy ways adopted for their end

disposal, storage and handling practices?
Are the emissions monitoring & reporting carried out in
compliance to EPA Rules & Regulations?
Is the record & evidances of emissions monitoring &
reporting kept in an organised manner?

Are the occupational health surveys carried out for all the
sign ificant known hazards?llIuminations, Ventilation,
temperature, dust, fumes and artificial
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viDENCE (b2Jld;be.
verbal intervie\i(s)

humidification,Housekeeping, drinking water, etc

Has the mitigation measures taken to ensure reduction of

such occupational health risks to ALARP level?

./.
(./'
HEADING I EVIDENCE (Could be
:HAR." I t::KI::5 11~::5
CLAUSE . <ti:<:: verbal interviews)
CQIV),!\llENTS
I «..];ii; '.'
,; ,;. :i...;:.W;'·';iY ; ::>0 ";c·

Emergency Are procedures established, implemented and

Preparedness and mai ntained to identify potential for and respond to
Response emergency situations and potential accidents and for
preventing/ mitigating the associated aspects/ hazards
that can have an impact(s) on the environment, safety &
OHSAS 18001-
4.4.7 health of people whether within the plant periphery or the
communities liable to get affected from the associated
• OHSAS 18001- activities? Can the organ ization clearly demonstrate the
4.4.7 (Emergency
effectiveness of the system'!
preparedness and
Response) Has the organization respond to actual emergency
situations and accidents?
• ISO 14001 - 4.4.7 Has the organization successfully prevented or mitigate
(Emergency associated adverse environmental, health and safety
Preparedness and impacts
Response)
Verify if the necessary change and measures taken to
prevent re-occurrence of such incidents or the
• Factory Ordinance
emerqencv situation?
Act Chapter -II - 9
& 10 (General Is there an effective system within the organization to
Duties of Employer) periodically review and, where necessary, revise its
emergency preparedness and response procedures, in
• NEPRA CODE particular, after the occurrence of accidents or
(SRO 45 (1)/2005- emergency situations?
OS 7 (Overall
Standard for Are there indication of periodic testing of procedures
Performance) (check the record of such drills & exercises)?

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F-SP-005-2 0 13 of 18
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Document No VERSION DATE OF VERSION Page

Performance Are documented procedures established, implemented

Measurement and and maintained to monitor and measure, on a regular
Monitoring bas is, the key characteristics of operations that can
have a significant HSE impact?

• OHSAS 18001- Does the procedure(s) exist; including the documenting

4.5.1 (Performance of information to monitor performance, applicable
Measurement and operational controls and conformity with the
Monitoring) oraanization's HSE obiectives and taraets.
Can the organisation demonstrate that only calibrated or
• ISO 14001-4.5.1
(Monitoring and verified monitoring and measurement equipment are
Measurement) con sidered to be used and a system exists whereby un
calibrated equipment is isolated so that they cannot be
• Factory Ordinance used until calibrated.
Act Chapter -11-
10 (ii) Is the system established to ensure timely calibration of
equipment and that only calibrated equipments are
• NEPRA CODE No. used?
~--------------------------------------------~--------~-------------------+--------------------------------~
F.9(46)/97-Legis. Is the calibration and maintenance records retained?
Chapter III (34)-
Performance Is compliance with relevant occupational health, safety
Standard and environmental legislation periodically evaluated by
an established, maintained and documented procedure?

Is emissions monitoring carriedout according to national/

provincial regulatory requirements?

Is auditable record of em issions monitoring being

retained?
Is record analysed for trend analyses?

Are action taken and recorded if emissions exceed

regulatory or site specified limits?
Is emissions monitoring carriedout for moving machinery
and vehicles?

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HSE MANAGEMENT SYSTEM - AUDIT CHECKLIST HSE

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Document No VERSION DATE OF VERSION Page

Is passive monitoring carried out in relation to

environmental impacts and or occupational health point of
view?

'.,,' ,.,
\ '"
HEADING I "
EVIDENCE (Couldbe
, CHARACTERISTICS DOC#
CLAUSE verbal interviews)
COMMENTS
.". .t, """';:1;;:1, ;( " .....'i!, " .. ,'., ", i; .C·

Evaluation of Does the organization conduct periodical evaluations to

Compliance check compliance with applicable legal requirements? Are
results of such evaluations available?

• OHSAS 18001-
4.5.2 (Evaluation of
Compliance)

• ISO 14001 - 4.5.2

(Evaluation of
Compliance) Does the organization conduct periodical evaluations to
check compliance with any other requirements that it
• Factory Ordinance
subscribes (such as internal standards)? Are results of
Act Chapter -II -
10 (ii)
such evaluations available?

• NEPRA CODE No.

F.9(46)/97 -Legis.
Chapter III (34)-
Performance
Standard

HEADING I EVIDENCE (CQuld be

. CLAUSE' CHARACTERISTICS DQC#
verbal ihterviews) COMMENTS

Incident Is a documented procedure for Incident Investigation

Investigations Available? Are relevant employees aware of the
procedure?

F-SP-005-02 REV: 00
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/<~~': HSE MANAGEMENT SYSTEM - AUDIT CHECKLIST HSE

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Document No VERSION DATE OF VERSION Page

DOC#

Are underlying HS E deficiencies identified during

• OHSAS 18001- Investigations?
4.5.3.1 (Incident
Does the procedure include identification of corrective and
Investigation)
preventive action?
• ISO 14001 - Are results of such investigation communicated to all tiers
4.5.3.1 (Incident
of the organization?
Investigation)

• Factory Ordinance
Act Chapter -IV -
28,29,30
(Notification &
investigation of
accidents,
~~~~~~~~~s & IAre all results o~such investigation properly documented
occupational illness and maintained.

-
H~,A;piNG"1 c
EVIDENCE(Cbuld be I
DOC#
<;;L:AUSE verbal inteNieV(s)
COMMENTS
~----~------~~--~----~--~~~~~~----~------~~----------~~4-----------------~~--~~~
Nonconformity, Is there a procedure for identifying potential nonconformity
Corrective and (hazardous Situation)?
Preventive Actions Are all nonconformities investigated to determine their
cause and avoid recurrence?
• OHSAS 18001- Are corrective actions recorded and communicated to all
4.5.3.2
within the organization?
• ISO 14001 -
4.5.3.2

• Factory Ordinance IAre corrective and preventive actions periodically reviewed

Act Chapter -IV - for their effectiveness?
28,29,30

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(Notification &
investigation of
accidents,
dangerous
occurrences &
occupational illness

Control of Records Can the organization demonstrate establishment and

maintenance of records as necessary to the
requirements of its HSE management system, ISO
• OHSAS 18001-
4.5.4 14001, OHSAS 18001, NEPRA, Factory Ordinance
req uirements?
• ISO 14001 - 4.54 Is procedure(s) established for the identification,
maintenance and disposition of records (including
• Factory Ordinance
training records and results of audits and reviews)?
Act Chapter-III
(Health and Safety) I Are records identifiable, legible & traceable to activities,

• NEPRA Distribution I1-~p~ro~d~u~c~t(~s)~o~r~s~e~rv~iC~e~(~s)~? -} -----+----------------~----------------------------1

Code DOC 6.2 Are records stored such that they are retrievable and
(Procedures) & protected?
6.4.2 (Control
Documentation) Are retention time of records established and recorded

Management Is HSE Management System reviewed by top

Review management, at planned intervals, to ensure continuing
suitability, adequacy and effectiveness?

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jS\iUt: Ii " ,',i,>, "? :f:.".'

' .• ~':'.lit ,:§",,> ..", Ji~}I:, .,re.! "i;:'i:?i' ;')!f[';,jiiii'!','i\ ." ,.
iyPbL E"",iji ~r •.. ,... •••.•
i;, , ,·,';I;;",!;i'. ..' ,."ii(L '

[Iii!;;,;; I.j; ~~-, .. ii",,,'h::,;!j', ..,' it. ,...., ',," ";; i " .,,/)/;i,j: ?!rr
Is necessary information collected to allow the review!
eva luation?
• OHSAS18001-4,6r---------------------------------------~--------_+----------------+_--------------------------~
(Management Are the management reviews documented and records
Review retained?
~-------------------------------------+---------+----------------~--------------------------~
• ISO 14001 - 4.6 Does the review include assessing opportunities for
(Management improvement and the need for changes to the HSE
Review) management system, including the HSE policy and HSE
objectives, targets and other elements of the HSE
• Factory Ordinance Management System in the light of audit results,
Act Chapter-III changing circumstances and the commitment to continual
(Health and Safety) improvement?
• NEPRA CODE No. Does the management review also include:
F.9(46)/97-Legis. a) Results of internal audits and evaluations of
Chapter III (34) - compliance with legal requirements and with other
Performance
Standard .
req ulremen t SOW
t hiIC h th e organJza
izatiIon su b sCrJ
ib es

b) Communication(s) from external interested parties,

incl uding complaints

c) The HSE performance of the organization

d) The extent to which objectives and targets have been

met

e) Status of corrective and preventive actions

f) Follow-up actions from previous management reviews

g) Changing circumstances, including developments in

legal and other requirements related to its environmental
aspects
h) Recommendations for improvement
Is the process for the HSE management review followed
as advised in the procedure?

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•~;I
. HSE MANAGEMENT SYSTEM - AUDIT CHECKLIST HSE

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Observations from sample checks and site visits

Sr. No. Observation!Possible Non Compliance Root Cause Importance By when Comments
*
1
2
3
4
5
6
7
8
* Major! Minor! Observation! Suggestion for improvemenU Note worthy improvement

F-SP-005-02 REV: 00
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t<f-:?/ AUDIT OPENING I CLOSEOUT REGISTER HSE

F-SP-005-03 0 1 of 1
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Document No VERSION DATE OF VERSION Page

-- - - -""= ~--
Aud it Details
,Audif Title/Scope
Leat! Auditor:
1.
2.
3.
4.

,iDate, of Audit Opening Meeting

Please initial if present at the audit opening or closeout meetings

Ii Name (please Print) Position

Opening Meeting Closeout Meeting
(Please Initial) (Please Initial)

F-SP-005-03 REV: 00
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HSE
- CONTRACTOR
F-SP-005-04 0 1 of 7
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Document No VERSION DATE OF VERSION Page

HSE MANAGEMENT SYSTEMS I YES I NO I COMMENTS

1 MANAGEMENT SYSTEM CERTIFICATION

1.1 DOES YOUR COMPANY OPERATE A FORMAL
QUALITY ASSURANCE SYSTEM SUCH AS ISO
9000?
1.2 DOES YOUR COMPANY HOLD ANY
ENVIRONMENTAL MANAGEMENT SYSTEM
ACCREDITATION SUCH AS ISO 14001?
1.3 DOES YOUR COMPANY HOLD ANY
OCCUPATIONAL SAFETY MANAGEMENT
SYSTEM ACCREDITATION SUCH AS OHSAS
18000?
ENCLOSE COPIES OF ALL REGISTRATION
CERTIFICATES.
2 POLICY STATEMENT
2.1 DO YOU HAVE A WRITTEN HSE POLICY?
IF SO, PLEASE PROVIDE A COPY.
2.2 IS THE HSE POLICY COMMUNICATED TO ALL
PERSONNEL?
BY WHAT MEANS DO YOU COMMUNICATE
THE POLICY TO YOUR PERSONNEL?
2.3 DO YOU HAVE ANY OBJECTION TO ANY
ASPECT OF COMPANY HSE STANDARDS
ENCLOSED?
ARE YOU PREPARED TO ACCEPT AND
ENFORCE ALL ASPECTS OF COMPANY'S
STANDARDS? ~
DO YOU ENFORCE ALL ASPECTS OF YOUR
POLICY ON ALL
SUB-CONTRACTORS?
DO YOU AGREE THAT COMPANY'S HSE
STANDARDS WILL BE ADHERED TO BY ALL
YOUR SUBCONTRACTORS?
3 HSEMANAGEMENTSYSTEM
3.1 PLEASE PROVIDE A COPY OF YOUR HSE
MANAGEMENT SYSTEM.
3.2 IS YOUR MANAGEMENT SYSTEM
COMPLIANT WITH AN INTERNATIONALLY
RECOGNIZED MANAGEMENT SYSTEM
STANDARD?

Contractor Name: _ Audit Team: _

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HSE
- CONTRACTOR
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HSE MANAGEMENT SYSTEMS I YES I NO I COMMENTS

4 HSE MANAGEMENT MANUAL/PLAN

4.1 PLEASE PROVIDE A COPY OF YOUR HSE
MANAGEMENT MANUAL/PLAN INCLUDING
YOUR WASTE MANAGEMENT PLAN.
4.2 IS THERE A REQUIREMENT FOR YOUR
MANAGEMENT MANUAL/PLAN TO BE
REVISED ON A CONTRACT-BY-CONTRACT
BASIS?
4.3 WHAT HSE KEY PERFORMANCE
INDICATORS (KPI'S) ARE MEASURED? IF
AVAILABLE, PROVIDE DETAILS OF
PERFORMANCE FOR THESE KPI'S FOR THE
PAST FIVE YEARS.
5 SUB-CONTRACTOR MANAGEMENT
5.1 DO YOU HAVE PROCEDURES FOR THE
CONTROL OF HSE PERFORMANCE OF YOUR
SUBCONTRACTORS?
IF SO, PLEASE PROVIDE DETAILS.

5.2 DO ALL OF YOUR SUBCONTRACTORS HAVE

AN ACCEPTABLE HSE MANAGEMENT
MANUAL/PLAN?
6 RISK ASSESSMENT
6.1 DO YOU HAVE A METHOD TO IDENTIFY,
ASSESS AND MANAGE RISKS TO
PERSONNEL, THE ENVIRONMENT OR
ASSETS?
6.2 HOW ARE RESIDUAL IDENTIFIED RISKS
ADDRESSED IN YOUR HSE MANAGEMENT
SYSTEM?
6.3 IF DOCUMENTED, PLEASE PROVIDE A COPY.
IS A COPY PROVIDED?
6.4 WHAT PROCESS DO YOU USE TO ENSURE
THAT HSE REQUIREMENTS ARE COMPLIED
WITH IN THE DESIGN PHASE?
6.5 WHAT PROCESS DO YOU USE TO MANAGE
RISK ASSESSMENT ACTION TRACKING (EG.
HAZOP ACTIONS)?

Contractor Name: _ Audit Team: _

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- CONTRACTOR
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HSE MANAGEMENT SYSTEMS I YES I NO I COMMENTS

7 SAFETY CASE EXPERIENCE

7.1 PLEASE PROVIDE EXAMPLES OF WHERE
SAFETY CASE REQUIREMENTS HAVE BEEN
INCORPORATED INTO DESIGN AND
OPERATIONS ACTIVITIES.
8 HSE COMMUNICATION, TRAINING &
AWARENESS
8.1 BY WHAT MEANS DO YOl:) COMMUNICATE
WORK PRACTICES, SAFETY INSTRUCTIONS
AND EMERGENCY RESPONSE PROCEDURES
TO YOUR PERSONNEL?
8.2 IS THE HSE MANAGEMENT MANUAL/PLAN
AND EMERGENCY RESPONSE PROCEDURE
AVAILABLE TO ALL OF YOUR PERSONNEL?
8.3 ARE YOUR PERSONNEL DRILLED IN
EMERGENCY PROCEDURES?
8.4 DO YOU HAVE A SAFETY AWARENESS
PROGRAM FOR ALL OF YOUR PERSONNEL?
(IE STOP / OBSERVATION OR SIMILAR
PROGRAM.)
8.5 IF SO, HOW OFTEN ARE YOUR PERSONNEL
REINFORCED ON SAFETY ISSUES AND
RULES?
8.6 DO YOUR PERSONNEL BELIEVE THAT
SAFETY HAS PRIORITY OVER PRODUCTION,
SCHEDULE, PERFORMANCE AND COST?
9 EMERGENCY RESPONSE PLAN
9.1 PLEASE PROVIDE A COPY OF YOUR
EMERGENCY RESPONSE PLAN.
10 INCIDENT REPORTING PROCEDURE
10.1 WHAT TYPES OF HSE RECORDS DO YOU
KEEP?
COVERING:
• FATALITIES
• INJURIES
• DANGEROUSOCCURRENCBNEAR
MISSES
• ENVIRONMENTAL DAMAGE
• UNSAFE PRACTICES AND SAFETY
RELATED INCIDENCES

Contractor Name: _ Audit Team: _

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' 'C HSE PREQUALIFICATION AUDIT CHECKLIST

!<~?/ HSE
- CONTRACTOR
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HSE MANAGEMENT SYSTEMS I YES I NO I COMMENTS

• REPORTABLE INCIDENTS
10.2 DO YOU HAVE A PROCEDURE FOR THE
INVESTIGATION, REPORTING AND FOLLOW-
UP OF ACCIDENTS, DANGEROUS
OCCURRENCES OR OCCUPATIONAL
ILLNESSES?
IF SO, PLEASE PROVIDE DETAILS.
10.3 DO YOU COMMUNICATE THE RESULTS OF
INCIDENT INVESTIGATIONS TO YOUR
PERSONNEL?
IF SO, PLEASE PROVIDE DETAILS.
10.4 PLEASE PROVIDE EXAMPLES OF
INVESTIGATION REPORTS FOR THE LAST
TWELVE MONTHS.
10.5 PLEASE PROVIDE DETAILS OF ANY
SIGNIFICANT HSE ACHIEVEMENTS OR
AWARDS.
10.6 PLEASE PROVIDE DETAILS OF YOUR ANNUAL
SAFETY RECORDS FOR THE LAST THREE
YEARS (ON A YEAR BY YEAR BASIS)
COVERING THOSE DETAILED IN 10.1 ABOVE
107 PLEASE PROVIDE DETAILS OF MAJOR
SUBCONTRACTORS USED IN THE LAST
THREE YEARS AND TO ADVISE AS TO THEIR
SAFETY RELATED DATA IN ACCORDANCE
WITH 10.1 TO 10.6 ABOVE.
10.8 DO YOU HAVE ANY OBJECTION TO YOUR
CEO (OR NEAR EQUIVALENT) BEING
RESPONSIBLE TO COMPANY FOR CLOSEOUT
OF ALL HSE RELATED REPORTS AND
INCIDENCES?
11 EMPLOYEE ORIENTATION PROGRAM
11.1 DO YOU HAVE A WRITTEN ORIENTATION
PROGRAM?
IF SO, PLEASE PROVIDE A COPY.
11.2 HOW DO YOU MANAGE ORIENTATION OF
SUBCONTRACTOR'S PERSONNEL?
PLEASE PROVIDE DETAILS.
12 HEALTH
12.1 DO YOU HAVE A DRUG AND ALCOHOL

Contractor Name: _ Audit Team: _

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-CONTRACTOR
HSE

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HSE MANAGEMENT SYSTEMS I YES I NO I COMMENTS

(SUBSTANCE ABUSE) POLICY?

IF SO, PLEASE PROVIDE COPY.
12.2 DO YOU HAVE A MEDICAL FIT FOR WORK
ASSESSMENT PROCESS / POLICY?
IF SO, PLEASE PROVIDE COPY.
12.2 DO YOU HAVE AN INJURY CASE
MANAGEMENT PROCEDURE?
IF SO, PLEASE PROVIDE DETAILS.
13 SAFETY MEETING PROGRAM
13.1 DO YOU HOLD IN-HOUSE SAFETY
MEETINGS?
PLEASE PROVIDE DETAILS INCLUDING
FREQUENCY.
13.2 DO YOU CONDUCT PROGRAMS TO
STIMULATE SAFE WORKING PRACTICES?
WHAT METHODS ARE USED AND WHAT HAVE
BEEN THE RESULTS?
13.3 DO YOU HAVE AN ESTABLISHED SYSTEM
FOR COMMUNICATING WITH PERSONNEL ON
SAFETY MATTERS? IF so, PLEASE PROVIDE
DETAILS.
14 HSE TRAINING PROGRAM
14.1 WHAT HSE TRAINING DO YOU PROVIDE
YOUR PERSONNEL AND UP TO WHICH LEVEL
OF MANAGEMENT IS IT PROVIDED?
14.2 HAVE YOUR PERSONNEL WHO WILL
UNDERTAKE THE WORK RECEIVED FORMAL
TRAINING IN SAFE WORKING PRACTICES
AND IN THE USE OF PROTECTIVE
EQUIPMENT RELATING TO THE POTENTIAL
HAZARDS OF THAT WORK?
IF SO, PLEASE PROVIDE DETAILS.
14.3 IS THERE A COMPETENCY ASSESSMENT
PROGRAM FOR YOUR SUB-CONTRACTORS'
PERSONNEL?
15 HSE INSPECTION PROGRAM
15.1 DOE YOU CONDUCT HSE INSPECTIONS AND
AUDITS OF YOUR OPERATIONS?
IF SO, PLEASE PROVIDE DETAILS OF TYPE,

Contractor Name: _ Audit Team: _

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h':"'-'·,'·,····,··,
HSE PREQUALIFICATION AUDIT CHECKLIST
/<~::/ HSE
-CONTRACTOR
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HSE MANAGEMENT SYSTEMS I YES I NO I COMMENTS

FREQUENCY AND WHO IS INVOLVED.

16 PROFESSIONAL HSE SUPPORT
16.1 PLEASE PROVIDE AN ORGANIZATION CHART
AND A DESCRIPTION OF HSE
RESPONSIBILITIES WITHIN YOUR
ORGANIZATION.
16.2 PLEASE PROVIDE DETAILS OF YOUR HSE
OFFICER'S EXPERIENCE,
16.3 PLEASE PROVIDE DETAILS OF HSE
PERSONNEL RESOURCES AVAILABLE FOR
EVERY CONTRACT AND PROJECT. PLEASE
ADVISE MINIMUM SAFETY QUALIFICATIONS
OF THESE RESOURCES.
16.4 PLEASE PROVIDE DETAILS OF PERSONNEL
POSSESSING FORMAL QUALIFICATIONS
WHO WOULD BE ASSIGNED UNDER THIS
POTENTIAL CONTRACT.
16.5 PLEASE PROVIDE DETAILS AND
QUALIFICATIONS OF SITE BASED MEDICAL
PERSONNEL WHO WOULD BE ASSIGNED
UNDER THIS POTENTIAL CONTRACT (IF
APPLICABLE).
17 LANGUAGE
17.1 THE BUSINESS LANGUAGE UTILIZED BY
COMPANY WORLDWIDE IS ENGLISH
DOES YOUR COMPANY HAVE PERSONNEL
FLUENT IN ENGLISH AVAILABLE TO DEAL
WITH ALL COMMUNICATION REQUIREMENTS,
WRITTEN AND VERBAL, ARISING DURING
QUALIFICATION, COMMITMENT AND
EXECUTION?
18 BUSINESS CONDUCT & ETHICS
18.1 DOES YOUR COMPANY HAVE A
DOCUMENTED ETHICS / BUSINESS CONDUCT
POLICY?
PLEASE PROVIDE A SUMMARY STATEMENT
FOR THIS POLICY
18.2 DOES YOUR COMPANY ADHERE TO THE
UNIVERSAL DECLARATION OF HUMAN
RIGHTS
PLEASE PROVIDE DETAILS.

Contractor Name: _ Audit Team: _

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HSE MANAGEMENT SYSTEMS I YES I NO I COMMENTS

18.3 DOES YOUR COMPANY COMPLY WITH THE

VOLUNTARY PRINCIPLES ON SECURITY AND
HUMAN RIGHTS?
PLEASE PROVIDE DETAILS.
19 SECURITY
19.1 IS YOUR COMPANY REQUIRED TO HAVE A
SECURITY PLAN?
PLEASE PROVIDE A SUMMARY

COMMENTS:

Contractor Name: _ Audit Team: _

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